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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 Delise Simpson is an investment advisor representative with Morgan Stanley and has been in the financial services industry since November 1998. Karen holds a Series 6, 7 and 66 license. Previously, Karen was registered with Ameritas Investment Company, LLC, Cambridge Investment Research, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Karen has a broad experience of the financial services industry and is registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OH
04/22/2020 - Present
Morgan Stanley (Toledo OH)
OH
01/04/2014 - 03/17/2020
AMERITAS INVESTMENT COMPANY, LLC (TOLEDO OH)
OH
02/08/2011 - 12/20/2011
CAMBRIDGE INVESTMENT RESEARCH, INC. (PERRYSBURG OH)
OH
10/09/1999 - 04/28/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PERRYSBURG OH)
OH
10/18/1995 - 09/27/1999
SKY INVESTMENTS, INC. (BRYAN OH)
NA
09/26/1995 - 10/18/1995
MFI INVESTMENTS CORP.
AZ
02/01/1995 - 10/02/1995
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
BOTH
Issued 11/12/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/1997
Series 7 - General Securities Representative Examination
BC
Issued 01/31/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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