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 Peck is a registered investment advisor representative with Wells Fargo Clearing Services, LLC, a firm with over $10 billion in assets under management. Karen has been in the financial services industry since July 31, 2014. Karen holds the Series 6, 7, 63, and 65 licenses. Karen specializes in investments, portfolio management, financial planning, and pension consulting. Karen has been with Wells Fargo Bank NA since March 2012, with Wells Fargo Advisors LLC since May 2014, and with Wells Fargo Clearing Services, LLC since November 2016.
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
07/22/2022 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
IA
Issued 07/22/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/01/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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