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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 Elizabeth Sims is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Karen Sims has been in the industry since February 16, 2002. Karen Sims has offices in San Antonio, Texas and Seattle, Washington. Karen Sims is registered to provide investment advisory services in Texas and Washington. Karen Sims also has a Series 6, 7, 63, 65, and 66 license. Karen Sims is a Registered Representative and Investment Advisor Representative with the firm. Karen Sims is associated with the firm since October 2009.
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 10/3/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 1/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/17/2005
Series 7 - General Securities Representative Examination
BC
Issued 4/19/1996
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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