Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Winters is a financial advisor with over 17 years of experience in the industry. Karen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and holds a variety of licenses and certifications, including Series 66, Series 10, Series 9, SIE and Series 7. Karen has a strong background in providing financial advice to individuals, families, and businesses. Karen specializes in a range of financial services, including portfolio management, investment planning, and retirement planning.
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
FL
11/02/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
BOTH
Issued 09/22/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/01/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2009
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
Not sure Karen Winters is the right advisor for you? Invested Better is here to help.
