Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Marie Bausch is a registered representative with Wells Fargo Clearing Services, LLC. Karen has been in the securities industry since 1996. Karen has passed the Series 7, Series 9, Series 10, Series 24, Series 63, and Series 66 exams. Karen is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Karen has previously worked for First Union Brokerage Services, Inc., First Clearing Corporation, and Meridian Securities, Inc.. Karen has experience in the areas of investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
Investment consulting services to institutional clients
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
PA
05/26/2011 - Present
Wells Fargo Clearing Services, LLC (WYOMISSING PA)
NC
05/08/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MO
08/19/1996 - 10/21/1998
FIRST CLEARING CORPORATION (ST. LOUIS MO)
NA
04/01/1996 - 08/19/1996
MERIDIAN SECURITIES, INC.
BOTH
Issued 05/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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