Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren O'Gee is a financial advisor with over 25 years of experience in the industry. Karen is currently registered with Wells Fargo Clearing Services, LLC and has been with them since 2006. Prior to that, Karen has worked for a number of other firms including TIAA-CREF Individual & Institutional Services, LLC, MONY Securities Corporation, Tower Square Securities, Inc., Washington Square Securities, Inc., First Union Brokerage Services, Inc., 1717 Capital Management Company, American Express Financial Advisors Inc., IDS Life Insurance Company and Harrington Securities Corporation. Karen holds Series 7, Series 7TO, and Series 63 licenses. Karen offers investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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
NC
10/12/2006 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
08/22/2005 - 01/06/2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NY
11/19/2003 - 02/08/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
CA
08/29/2001 - 12/31/2001
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
CT
07/30/1999 - 04/18/2000
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
NC
12/09/1998 - 12/11/1998
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
DE
12/22/1993 - 07/22/1997
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
MN
04/23/1990 - 09/10/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/23/1990 - 09/10/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
01/19/1988 - 04/24/1990
HARRINGTON SECURITIES CORPORATION (WILLIAMSVILLE NY)
BC
Issued 08/19/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
Series 7 - General Securities 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
Not sure Karen O'Gee is the right advisor for you? Invested Better is here to help.
