Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Lynn Nichols is a registered investment advisor representative with Oppenheimer & Co. Inc. Karen has been in the industry since November 11, 1991. Karen holds FINRA Series 7, 63 and 65 licenses. Karen has previous employment history with Bear, Stearns & Co. Inc., UBS Financial Services Inc., and Lehman Brothers Inc. Karen's areas of specialization include investment management for individuals, families, businesses, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
03/04/2004 - 05/14/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NJ
02/09/1996 - 03/11/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
11/12/1991 - 02/20/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 09/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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