Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Colleen Nicholson is a financial advisor with over 38 years of experience in the financial services industry. Karen is currently registered with D.a. Davidson & Co. and holds Series 63, 66, 7, 8, 9, 10, and SIE licenses. Karen has experience in the investment industry and is dedicated to providing clients with personalized financial advice. Karen has previous experience with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Salomon Smith Barney Inc., Dain Bosworth Incorporated, PaineWebber Incorporated, United Pacific Financial Services, Inc., GNA Securities, Inc., ISFA Corporation, FSC Securities Corporation and Southmark Financial Services, Inc. Karen specializes in helping individuals, families, and businesses achieve their financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
OR
02/26/2019 - Present
D.a. Davidson & Co. (MEDFORD OR)
OR
06/01/2009 - 09/24/2009
MORGAN STANLEY SMITH BARNEY (MEDFORD OR)
OR
02/12/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MEDFORD OR)
NY
07/31/1997 - 12/23/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
12/02/1993 - 04/04/1997
DAIN BOSWORTH INCORPORATED
NJ
11/18/1991 - 10/26/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
06/15/1990 - 06/19/1991
UNITED PACIFIC FINANCIAL SERVICES, INC.
VA
02/23/1989 - 06/19/1990
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
08/15/1985 - 01/07/1989
ISFA CORPORATION
NA
03/09/1984 - 08/19/1985
FSC SECURITIES CORPORATION
NA
08/23/1983 - 02/27/1984
SOUTHMARK FINANCIAL SERVICES, INC.
BOTH
Issued 04/16/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/05/1984
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 07/13/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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