Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Ann Peterson is a registered investment advisor representative with UBS Financial Services Inc. Karen has been in the securities industry since 1997. She is licensed to provide investment advice in 19 states. Karen is affiliated with UBS Financial Services Inc. and holds a Series 63 and Series 65 license.
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.
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.
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.
See schedule d - miscellaneous
1
2
MN
06/20/2016 - Present
UBS Financial Services Inc. (WAYZATA MN)
MN
01/16/2009 - 05/09/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAYZATA MN)
MN
03/31/1997 - 01/27/2009
UBS FINANCIAL SERVICES INC. (WAYZATA MN)
IA
Issued 06/17/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Karen Peterson is the right advisor for you? Invested Better is here to help.
