Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Lucian is a financial advisor with Raymond James & Associates, Inc. Karen has been in the financial industry since 1983. She is registered to provide investment advice in California, Florida and Texas. Karen has a wide range of experience in the financial industry, including experience with direct participation programs, commodities, and securities. She has a strong commitment to providing her clients with personalized financial advice and services.
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.
Please see note in schedule d - miscellaneous
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
08/04/2016 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
CA
07/01/2003 - 08/25/2008
WACHOVIA SECURITIES, LLC (NEWPORT BEACH CA)
NY
11/19/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/28/1990 - 11/11/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
07/17/1987 - 11/20/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
04/05/1984 - 08/19/1987
E. F. HUTTON & COMPANY INC
NA
07/28/1983 - 07/05/1984
ROBERT EDWARD LAVERTY
IA
Issued 10/31/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/1986
Series 3 - National Commodity Futures Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
BC
Issued 07/27/1983
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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