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Karen Baxter

Fifth Third Securities, Inc.

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About Karen Baxter

Karen Baxter is a financial advisor who has been active in the industry since 2017. Karen is currently registered with Fifth Third Securities, Inc. and is located in Brentwood, TN. Karen holds Series 63, 65, 66 and 7 licenses and has previously worked with Ameriprise Financial Services, Inc. and Robert W. Baird & Co. Incorporated. Karen's specializations include: Pension Consulting, Portfolio Management for Individuals, Portfolio Management for Businesses, and Selection of Other Advisors.

Firm Information

Karen Baxter is currently registered with Fifth Third Securities, Inc.. Fifth Third Securities, Inc. is a corporation headquartered in Cincinnati, Ohio. Founded in 1925, the firm offers a variety of advisory services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Fifth Third Securities, Inc. manages over $7.9 billion in assets for a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm also participates in a wrap fee program.
Fifth Third Securities, Inc.

34 FOUNTAIN SQUARE PLAZA

CINCINNATI, OH 45263

$7.98B

Assets Under Management

Not reported

Total Clients

1,080

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sponsor wrap fee program

Sponsor wrap fee program

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Karen Baxter’s Registration & Firm History

TN

05/03/2024 - Present

Fifth Third Securities, Inc. (BRENTWOOD TN)

TN

05/10/2018 - 11/19/2019

ROBERT W. BAIRD & CO. INCORPORATED (NASHVILLE TN)

FL

07/26/2017 - 03/09/2018

AMERIPRISE FINANCIAL SERVICES, INC. (TAMPA FL)

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Licenses & Designations

IA

Issued 05/03/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/09/2024

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 08/31/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/13/2023

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/26/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Karen Baxter. Review regulatory record here.
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