Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Oberg is a financial advisor who has been in the industry for over 20 years. Karen is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2021. Previously, Karen worked with a number of firms including UBS Financial Services Inc. and Piper Jaffray & Co. Karen holds a Series 7, Series 9, Series 10, Series 66, and Series 99TO licenses. Karen also has experience in working with a variety of clients including individuals, businesses, and institutions. Karen's focus is on providing personalized financial advice and helping clients reach their financial goals.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
WI
11/29/2021 - Present
Northwestern Mutual Investment Services, LLC (Milwaukee WI)
ND
11/27/2015 - 03/14/2016
WOODBURY FINANCIAL SERVICES, INC. (FARGO ND)
ND
11/19/2007 - 04/10/2014
BANCWEST INVESTMENT SERVICES, INC. (FARGO ND)
ND
08/12/2006 - 09/19/2007
UBS FINANCIAL SERVICES INC. (FARGO ND)
ND
12/12/2005 - 08/12/2006
PIPER JAFFRAY & CO. (FARGO ND)
MN
08/29/2005 - 11/30/2005
EDWARD JONES (SABIN MN)
MN
01/02/2003 - 08/05/2005
QUESTAR CAPITAL CORPORATION (MINNEAPOLIS MN)
CO
11/27/2001 - 12/31/2002
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
BOTH
Issued 01/08/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/31/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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