Unclaimed
Karen Allen is a financial advisor with Raymond James & Associates, Inc. in Birmingham, Alabama. Karen has over 30 years of experience in the financial services industry. Karen specializes in providing financial advice to individuals, families, and businesses. Karen also has experience in providing financial planning 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
AL
02/13/2013 - Present
Raymond James & Associates, Inc. (BIRMINGHAM AL)
AL
04/12/2001 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (BIRMINGHAM AL)
AL
07/17/1996 - 04/12/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
TN
01/29/1993 - 03/01/1996
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
AL
04/21/1992 - 02/05/1993
PORTER, WHITE & YARDLEY, INC. (BIRMINGHAM AL)
AL
10/25/1989 - 04/22/1992
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
BC
Issued 09/12/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/16/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/15/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities 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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