Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Neff is a registered representative with Wells Fargo Clearing Services, LLC, with over 27 years of experience in the financial industry. Karen is a highly experienced advisor with a focus on providing investment consulting services to institutional clients, along with financial planning, portfolio management for individuals and businesses, and pension consulting. Karen has expertise in various investment areas and holds several licenses including Series 7, 66, 24, 53, 52TO, 9, 10 and 4, as well as SIE. Karen is also active in the Iowa and Arkansas markets.
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
IA
01/22/2016 - Present
Wells Fargo Clearing Services, LLC (MARSHALLTOWN IA)
IA
11/06/2009 - 07/14/2015
WELLS FARGO SECURITIES, LLC (DES MOINES IA)
IA
04/16/1996 - 11/06/2009
WELLS FARGO BROKERAGE SERVICES, L.L.C. (DES MOINES IA)
BOTH
Issued 01/22/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/04/2023
Series 4 - Registered Options Principal Examination
BC
Issued 03/27/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/09/2010
Series 24 - General Securities Principal Examination
BC
Issued 03/10/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1996
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 Neff is the right advisor for you? Invested Better is here to help.
