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:
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 – Chicago - 1979-1983
Bachelor’s Degree - Concentration - Finance
John Marshall Law School – Chicago -1988-1991
Juris Doctorate
Certifications
Certified Financial Planning (CFP) – since 2001
Certified Investment Management 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:
Investment & Wealth Institute (IWI) 2004-present
Committee – exam writing for Certified Investment Management Associate and Chartered Private Wealth Advisor certifications (2020-2021)
Certified Financial Planning Association 2001- present
Securities Expert Roundtable
SER Associate Member
Curriculum Vitae