Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Elizabeth Elliot is an investment advisor representative at Wells Fargo Clearing Services, LLC. Karen has been in the financial services industry since 1998 and has a broad range of experience serving individual and institutional clients. Karen’s prior experience includes roles at Ameriprise Financial Services, Inc., Stockcross Financial Services, Inc., New England Securities, ING Financial Partners, Inc., Citigroup Investment Services and TD Waterhouse Investor Services, Inc.. Karen is also registered with the Financial Industry Regulatory Authority (FINRA). Karen holds Series 63, 65 and 7 licenses, as well as the Securities Industry Essentials (SIE) exam.
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
CA
09/19/2019 - Present
Wells Fargo Clearing Services, LLC (WOODLAND HILLS CA)
CA
05/25/2012 - 09/23/2019
AMERIPRISE FINANCIAL SERVICES, INC. (WOODLAND HILLS CA)
CA
02/23/2010 - 06/20/2012
STOCKCROSS FINANCIAL SERVICES, INC. (BEVERLY HILLS CA)
CA
02/04/2008 - 10/06/2009
NEW ENGLAND SECURITIES (WOODLAND HILLS CA)
CA
04/12/2007 - 01/03/2008
ING FINANCIAL PARTNERS, INC. (SAN GABRIEL CA)
NY
08/19/2005 - 01/12/2006
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
10/15/1998 - 08/04/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
12/11/1998 - 01/10/2000
TD SECURITIES (USA) INC. (NEW YORK NY)
IA
Issued 12/17/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Karen Elliot is the right advisor for you? Invested Better is here to help.
