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Karen Jene Peters

Charles Schwab & CO., Inc.

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About Karen Jene Peters

Karen Jene Peters is a financial professional with over 20 years of experience in the industry. Karen currently holds a Series 7, Series 24, Series 27 and Series 99TO licenses. Karen has been a registered representative with Charles Schwab & Co., Inc. since October 2021 and prior to that, Karen was a registered representative with TD Ameritrade, Inc. Karen has a proven track record of success in providing financial advice to clients. Karen is committed to helping her clients achieve their financial goals.

Firm Information

Karen Peters is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Karen Peters’s Registration & Firm History

NE

10/04/2021 - Present

Charles Schwab & CO., Inc. (Omaha NE)

NE

04/22/2006 - 10/20/2021

TD AMERITRADE, INC. (OMAHA NE)

NE

01/24/2001 - 04/22/2006

AMERITRADE, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 03/10/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/26/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2001

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Karen Jene Peters.
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