Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Floyd is a financial professional with over 28 years of experience in the financial services industry. Karen is currently registered with Charles Schwab & CO., Inc. and has previously held positions at TD AMERITRADE, INC., TD AMERITRADE CLEARING, INC., WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC. and PROSPERA FINANCIAL SERVICES, INC. Karen has a broad range of experience and holds the Series 7, 9, 10, 24, 63 and 65 licenses. Karen has a strong commitment to providing excellent customer service and financial advice.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
10/04/2022 - Present
Charles Schwab & CO., Inc. (Fort Worth TX)
TX
11/30/2012 - 02/26/2024
TD AMERITRADE, INC. (Westlake TX)
TX
01/17/2013 - 08/27/2016
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
TX
01/01/2008 - 12/19/2011
WELLS FARGO ADVISORS, LLC (FORT WORTH TX)
TX
03/07/2003 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
TX
05/17/2002 - 12/18/2002
PROSPERA FINANCIAL SERVICES, INC. (DALLAS TX)
NY
05/19/2000 - 04/03/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MO
04/19/1995 - 05/22/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
MO
09/16/1993 - 02/03/1995
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 05/22/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/07/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/28/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Karen Floyd is the right advisor for you? Invested Better is here to help.
