Mr. Karabas is an experienced senior investment professional with over thirty-five years of investment management and consulting experience.
He has broad experience in many aspects of the securities industry. He has first-hand experience in RIA mergers and acquisition, trading, clearing, custody and recruiting/supervising Financial Advisors.
Mr. Karabas has experience supporting arbitration, litigation, and enforcement matters conducting internal investigations, responding to and resolving regulatory investigations and examinations. In addition, he served as an expert witness for Abramson and Fox between 1995-1998 as needed.
Employment:
Barrington Financial Consulting Group (2024-present)
Embree Financial Group (RIA)– CCO/ COO (2016-present)
Waddell and Reed (Broker Dealer) – District Manager (2013-2016)
Vestor Capital (RIA) - COO – (2006-2013)
Merrill Lynch – First Vice President (1988-2006)
Prudential Bache – Vice President (1985-1988)
Oppenheimer – Fixed Income Trading (1983-1985)
Education:
Loyola University of Chicago
BBA - Finance
John Marshall Law School
Juris Doctorate
Certifications
Certified Fraud Examiner (CFE) since 2024
Certified Financial Planning (CFP) – since 2001
Certified Investment Mgmt Analyst (CIMA) since 2004
Licensed to practice Law – Illinois 1991
Series 65 - Uniform Investment Adviser - 1998
Series 63 - Uniform Securities Agent State - 1984
SIE - Securities Industry Essentials - 2016
Series 15 - Foreign Currency Options - 1987
Series 5 - Interest Rate Options - 1986
Series 7 - General Securities Representative -1984
Series 3 - National Commodity Futures - 1984
Series 24 - General Securities Principal - 2007
Memberships:
Association of Cert Fraud Examiners 2024- present
Securities Expert Roundtable 2023-present
Investment & Wealth Institute (IWI) 2004-present
Certified Financial Planning Association 2001- present
SER Associate Member
Curriculum Vitae