Karen Peters has been Fin Op of Searle & Co. since December 1991, is not listed as a control person, but directly owns under 5% of the firm.
Searle & Co. is a Greenwich, CT firm with $630M under management, 127 clients and 7 advisers across 5 offices, as of its December 2025 filing.
No adviser firm registrations are on Karen Peters’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 72 | Government Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 18 January 1991 |
| Series 27 | Financial and Operations Principal Examination | 3 August 1990 |
- Name
- Operations Professional Examination
- Name
- Government Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Financial and Operations Principal Examination
- Full name
- Karen Lynn Peters
- CRD
- 2080613
- Firm
- Searle & Co. · CRD 13035
- Role
- Fin Op
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Karen Peters work?
Karen Peters has been Fin Op of Searle & Co. since December 1991.
Does Karen Peters have a current investment-adviser registration?
Karen Peters has a current broker registration and no current investment-adviser registration.
What exams has Karen Peters passed?
Karen Peters has passed 4 licensing exams: the Series 27, Series 63, Series 99TO and Series 72. The earliest, the Series 27, was passed in August 1990. FINRA credited Karen Peters with the SIE, which began in October 2018.
Is Karen Peters registered with FINRA?
Yes. Karen Peters has a current broker registration, under CRD 2080613.
Source: FINRA BrokerCheck
How can I verify Karen Peters’ record?
Search CRD 2080613 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Karen Peters’ full registration record.