Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Tran is a financial professional with over 20 years of experience in the industry. Karen is currently registered with Nasdaq Execution Services, LLC, and holds several licenses, including Series 7, 27, 63, 99TO, and SIE. Karen is a well-rounded professional with a history of working with several prominent firms like Nasdaq Options Services, LLC, and Friedman, Billings, Ramsey & Co., Inc.
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.
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.
1
2
PA
09/10/2008 - Present
Nasdaq Execution Services, LLC (PHILADELPHIA PA)
NY
09/10/2008 - 12/23/2011
NASDAQ OPTIONS SERVICES, LLC (NEW YORK NY)
CA
07/28/2000 - 04/25/2008
FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)
BC
Issued 12/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2005
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/30/2020
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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