Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that former California-based Pruco Securities broker/adviser Karen Paek was recently discharged from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Paek (CRD# 5985441).
Karen Paek has spent six years in the securities industry and was most recently registered with Pruco Securities in El Segundo, California (2015-2018). She was previously registered with First Investors Corporation in Monrovia, California (2011-2015). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 11, 2017; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on November 11, 2011; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 15, 2011. She is currently not registered with any state, firm, or self-regulatory organization (SRO).
According to her FINRA-provided BrokerCheck report, Karen Paek was recently discharged from her former employer in connection to alleged violations of firm policies and procedures.