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 Sims is a financial advisor with over 20 years of experience in the financial services industry. She is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with firms such as BANC OF AMERICA INVESTMENT SERVICES, INC. and SEAFIRST INVESTMENT SERVICES, INC.. Karen has held various roles throughout her career and has a broad range of expertise in the financial services industry.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
WA
08/18/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SEATTLE WA)
MA
07/12/1999 - 10/21/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/01/1998 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
04/22/1996 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
BOTH
Issued 10/03/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2005
Series 7 - General Securities Representative Examination
BC
Issued 04/19/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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