Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Wines is a financial advisor with over 25 years of experience in the industry. Karen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous roles at SG Americas Securities, LLC and Knight Equity Markets, L.P. Karen has a strong track record of success in providing financial advice and investment management services to a diverse clientele, including individuals, families, corporations, and institutions. Karen is committed to providing personalized financial planning and investment strategies that are tailored to meet each client's unique needs and goals. Karen holds a variety of licenses and certifications including Series 3, 7, 10, 24, 55, 57, 63 and 66.
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
11/02/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
02/23/2011 - 08/30/2012
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NJ
02/01/2007 - 10/13/2010
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
NY
12/08/1992 - 01/09/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/14/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/01/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2016
Series 57 - Securities Trader Exam
BC
Issued 01/14/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/22/1994
Series 3 - National Commodity Futures Examination
BC
Issued 12/04/1992
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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