Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Mendivil is a financial advisor with over 15 years of experience in the industry. Karen is currently registered with HSBC Securities (USA) Inc. as a Registered Representative and Investment Advisor Representative. Karen holds a Series 7, Series 9, Series 10, and Series 99TO licenses. Karen has previously held positions at Morgan Stanley and Wells Fargo Clearing Services. Karen is committed to providing clients with personalized financial advice and guidance. Karen is dedicated to helping clients reach their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
04/15/2022 - Present
Hsbc Securities (usa) Inc. (BEVERLY HILLS CA)
FL
03/26/2021 - 03/21/2022
MORGAN STANLEY (Miami FL)
FL
10/08/2018 - 03/23/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
02/11/2010 - 10/09/2018
MORGAN STANLEY (MIAMI FL)
NY
05/09/2006 - 09/23/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 06/26/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/13/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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