Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Sloan is a financial advisor with Wells Fargo Clearing Services, LLC. Karen has been working in the financial services industry since April 11, 2002. Karen has a wide range of experience working with various clients, including high-net-worth individuals, corporations, and charitable organizations. Karen is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
MO
04/10/2018 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
07/22/2014 - 11/17/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
MO
06/02/2008 - 07/22/2014
FIRST ALLIED SECURITIES, INC. (CHESTERFIELD MO)
MO
03/14/2006 - 06/02/2008
FFP SECURITIES, INC. (CHESTERFIELD MO)
MO
12/06/2005 - 03/13/2006
METLIFE SECURITIES INC. (ST. LOUIS MO)
MO
12/06/2005 - 03/13/2006
METROPOLITAN LIFE INSURANCE COMPANY (ST. LOUIS MO)
NJ
05/12/2005 - 12/31/2005
CITISTREET EQUITIES LLC (SOMERSET NJ)
MA
05/18/2004 - 09/03/2004
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IN
06/10/2003 - 05/14/2004
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
NY
07/23/2001 - 07/18/2003
PARK AVENUE SECURITIES LLC (NEW YORK NY)
IN
09/21/1999 - 01/31/2000
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
09/21/1999 - 01/31/2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
IA
Issued 06/16/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/17/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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