Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Roth is a financial advisor with over 15 years of experience in the industry. She is currently registered with Commonwealth Financial Network and has previously been registered with Cambridge Investment Research, Inc., MML Investors Services, LLC and UBS Warburg LLC. Karen holds a Series 6, 7, 63 and 65 license, as well as the SIE. Karen has a strong track record of providing financial advice to individuals, families, businesses and charitable organizations. She is a Chartered Financial Analyst.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
06/29/2021 - Present
Commonwealth Financial Network (Chappaqua NY)
NY
03/11/2013 - 02/21/2020
CAMBRIDGE INVESTMENT RESEARCH, INC. (Pleasantville NY)
NY
02/01/2011 - 03/11/2013
COMMONWEALTH FINANCIAL NETWORK (NEW YORK NY)
NY
11/25/2009 - 02/03/2011
MML INVESTORS SERVICES, LLC (NEW YORK NY)
NY
09/25/1998 - 01/04/2001
UBS WARBURG LLC (NEW YORK NY)
IA
Issued 09/21/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/24/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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