Karen Winfrey-Leake is a registered investment advisor, based in New York, NY, with 40 years of industry experience.
Location
1345 Ave of the Americas 2nd Floor, New York, NY, 10105
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Karen is a sole proprietor involved in several ventures, including sales and marketing of her art, working as a music DJ, lecturing on Wall Street careers, and podcasting about investment basics. These activities each take a few hours per week.
Employment History
Current Registrations
Sanctuary Advisors, LLC
Sanctuary Securities, INC.Broker
Previous Registrations
Gary Goldberg Planning Services
Gary Goldberg & CO., LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
South Richmond Securities, INC.Broker
J. Gregory & Company, INC.Broker
Lehman Brothers INC.Broker
Lehman Brothers Kuhn Loeb IncorporatedBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.