Karen Gendron has been FINOP of Secure Planning since October 2008, is not listed as a control person, but directly owns under 5% of the firm.
Secure Planning, LLC is a Portsmouth, NH firm with $187M under management, 529 clients and 3 advisers across 2 offices, as of its May 2026 filing.
No adviser firm registrations are on Karen Gendron’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 9 November 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 1988 |
| Series 7 | General Securities Representative Examination | 24 May 1986 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Karen Marie Gendron
- CRD
- 1503330
- Firm
- Secure Planning · CRD 42179
- Role
- FINOP
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Karen Gendron work?
Karen Gendron has been FINOP of Secure Planning, LLC since October 2008.
Does Karen Gendron have a current investment-adviser registration?
Karen Gendron has a current broker registration and no current investment-adviser registration.
What exams has Karen Gendron passed?
Karen Gendron has passed 4 licensing exams: the Series 7, Series 63, Series 28 and Series 99TO. The earliest, the Series 7, was passed in May 1986. FINRA credited Karen Gendron with the SIE, which began in October 2018.
Is Karen Gendron registered with FINRA?
Yes. Karen Gendron has a current broker registration, under CRD 1503330.
Source: FINRA BrokerCheck
How can I verify Karen Gendron’s record?
Search CRD 1503330 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Karen Gendron’s full registration record.