linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Karen Marie Midlaw

Scotia Capital (usa) Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Karen? Claim Your Profile

About Karen Marie Midlaw

Karen Midlaw is a financial advisor with over 25 years of experience in the financial services industry. Karen has held various positions at leading financial institutions, including Goldman, Sachs & Co., SG Cowen & Co., LLC, and National Financial Services LLC. Currently, Karen is registered with Scotia Capital (usa) Inc. Karen has a broad range of experience in the financial services industry and is committed to providing her clients with personalized financial advice.

Firm Information

Karen Midlaw is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Karen Midlaw’s Registration & Firm History

NY

11/02/2022 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NJ

11/01/2010 - 10/11/2022

E*TRADE SECURITIES LLC (Jersey City NJ)

NJ

02/02/2006 - 12/09/2008

NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)

NY

12/10/2004 - 05/09/2005

SG COWEN & CO., LLC (NEW YORK NY)

CT

03/05/2004 - 11/10/2004

SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)

NY

06/08/2000 - 02/25/2003

H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)

NY

11/09/1999 - 05/17/2000

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

05/21/1999 - 11/01/1999

GILFORD SECURITIES INCORPORATED (NEW YORK NY)

NY

01/31/1997 - 05/19/1999

WHALE SECURITIES CO., L.P. (NEW YORK NY)

CT

09/27/1996 - 04/01/1997

BROOKEHILL EQUITIES, INC. (WESTPORT CT)

NY

12/08/1993 - 09/23/1996

WHALE SECURITIES CO., L.P. (NEW YORK NY)

Not sure if Karen Marie Midlaw is right for you?

Licenses & Designations

BC

Issued 04/11/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/05/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Karen Marie Midlaw. Review regulatory record here.
Not sure if Karen Marie Midlaw is right for you?