Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karalyn? Claim Your ProfileKaralyn Southwick has been in the financial services industry since November 1995. Karalyn is currently registered with Fidelity Brokerage Services LLC and holds licenses Series 3, 4, 7, 9, 10, 63 and SIE. Karalyn Southwick is licensed in 53 states and is approved to conduct business in all 50 states and 3 U.S. territories. Karalyn is a Series 4 registered options principal.
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.
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.
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2
UT
11/02/1995 - Present
Fidelity Brokerage Services LLC (SALT LAKE CITY UT)
BC
Issued 10/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/13/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/16/1997
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2007
Series 3 - National Commodity Futures Examination
BC
Issued 11/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
N
New York Stock Exchange
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