Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Bauman Dodd is a financial advisor with over 23 years of experience in the financial services industry. Karen is registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. Karen holds multiple licenses and certifications, including Series 7, 9, 10, 31, 63, and 65. Karen specializes in providing investment consulting services to institutional clients, as well as financial planning, pension consulting, and portfolio management for businesses and individuals. Karen also has experience working with charitable organizations, insurance companies, and high-net-worth individuals.
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
IN
01/26/2018 - Present
Wells Fargo Clearing Services, LLC (MISHAWAKA IN)
NY
03/22/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/14/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/02/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 03/20/2000
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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