Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Leung is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since 2009 and is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Karen Leung is registered to provide investment advice in 36 states and the District of Columbia. Karen Leung is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Karen Leung also provides investment advisory services through Merrill Lynch, Pierce, Fenner & Smith Inc.
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
02/09/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
06/01/2009 - 02/23/2015
MORGAN STANLEY (WOODLAND HILLS CA)
CA
05/19/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WOODLAND HILLS CA)
BOTH
Issued 08/11/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2009
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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