Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Lally is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Karen has been in the industry since December 13, 1998. Karen is licensed in 53 states and has been registered with the Securities and Exchange Commission (SEC) since 2009. Karen is also a registered Investment Advisor. Karen specializes in providing financial advice to individuals, businesses, and institutions. Karen works to develop financial plans and investment strategies that meet her client's individual needs.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
02/06/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSFORD NY)
NY
06/01/2009 - 07/15/2010
MORGAN STANLEY SMITH BARNEY (ROCHESTER NY)
NY
12/11/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ROCHESTER NY)
IA
Issued 09/27/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/06/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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