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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Annette Lalone is a financial advisor with over 35 years of experience in the industry. She is currently registered with Wells Fargo Clearing Services, LLC, and has been with the firm since 1990. Previously, Karen held positions with Bateman Eichler, Hill Richards, Incorporated and Drexel Burnham Lambert Incorporated. Karen holds multiple FINRA securities licenses, including the Series 7, 9, 10, 15, 63, and 65. She is also a licensed investment advisor in multiple states. Karen specializes in providing financial planning and portfolio management services to individuals, businesses, and institutions.
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.
1
2
AZ
09/04/1990 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
NA
06/12/1989 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
07/06/1988 - 06/13/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
06/20/1985 - 07/05/1988
PAINEWEBBER INCORPORATED
IA
Issued 04/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/1989
Series 15 - Foreign Currency Options Examination
BC
Issued 06/15/1985
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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