Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Caulfield is a financial advisor with D.a. Davidson & Co., where Karen has been employed since March 2023. Karen has been in the financial industry since May 1995. Karen is licensed to provide financial advice in Texas. Karen has previously worked with several other financial firms including Wells Fargo Advisors, LLC, Oppenheimer & Co. Inc., Voya Financial Advisors, Inc., and Hilltop Securities Inc. Karen is a registered representative and investment advisor.
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.
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.
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.
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2
TX
03/27/2023 - Present
D.a. Davidson & Co. (AUSTIN TX)
TX
10/07/2016 - 04/22/2023
HILLTOP SECURITIES INC. (AUSTIN TX)
TX
01/05/2016 - 05/09/2016
VOYA FINANCIAL ADVISORS, INC. (AUSTIN TX)
TX
09/27/2010 - 02/09/2015
OPPENHEIMER & CO. INC. (AUSTIN TX)
TX
01/01/2008 - 09/27/2010
WELLS FARGO ADVISORS, LLC (AUSTIN TX)
TX
01/29/2007 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUSTIN TX)
TX
05/14/2003 - 01/03/2007
WELLS FARGO INVESTMENTS, LLC (AUSTIN TX)
NY
08/17/1993 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
IA
Issued 07/13/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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