Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Hartz is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Karen has been in the financial services industry since 2008. Karen has been registered with FINRA since 2008 and has a current registration with the state of North Carolina. Karen holds the Series 66, Series 7, Series 9 and Series 10 licenses. Karen has experience in providing financial advice to a wide range of clients, including high-net-worth individuals, corporations, and pension plans. Karen also owns and operates a retail candle business.
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
01/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
NC
09/30/2010 - 12/10/2021
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
08/03/2009 - 09/22/2010
EDWARD JONES (CHARLOTTE NC)
NC
07/30/2008 - 08/03/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 11/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/09/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/06/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2008
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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