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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Sennes is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Karen has been in the industry since 1994 and has experience working with individual investors, high-net-worth individuals, businesses, and corporations. Karen's expertise in the financial industry extends across various sectors, including investments, retirement planning, financial planning, and asset management. Karen is a licensed advisor with the FINRA and holds licenses in multiple states. Karen's current position with Merrill Lynch allows her to provide expert financial guidance and assistance to a wide range of clients.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/08/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LA JOLLA CA)
CA
08/27/2008 - 06/18/2009
UBS FINANCIAL SERVICES INC. (LA JOLLA CA)
CA
02/04/1999 - 08/28/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
CA
03/02/1998 - 12/23/1998
GLOBAL RESOURCE INVESTMENTS, LTD. (CARLSBAD CA)
NY
12/11/1995 - 10/29/1997
WORLDWIDE VALUE DISTRIBUTORS, LLC (NEW YORK NY)
AZ
08/04/1994 - 12/31/1995
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
NY
07/31/1993 - 10/08/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
06/02/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 07/06/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/05/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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