Karen has been in the securities industry for over 20 years, starting in 1986 at Wheat, First Securities.   Through numerous mergers and acquisitions, the firm evolved into Wells Fargo Advisors, one of the largest in the country.  Karen’s most recent position was that of Chief Administrative Officer in the firm’s Compliance Department, and was responsible for all aspects of administration, including human resource functions and overseeing the department’s budget.  During her time with the firm, Karen created and managed multiple departments, including Complaints Administration, Regulatory Inquiries, and Legal Inquiries.  She was also integral in developing the firm’s regulatory exam program, and managed and coordinated exams conducted by numerous regulatory bodies.  Karen has significant experience and expertise in efficiency improvement, office administration, business process reengineering and project management.

Karen has participated in the VCU Business School’s Executive Development Program, and received the Securities and Compliance Professional Series Certificate from the University of Richmond School of Continuing Studies. Karen has passed the FINRA 7, 63, 4, 22, 39, 53, and 24 exams, which are currently inactive, and maintains her PMI Project Management Professional (“PMP”) Certification.