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 Clerici is a financial professional who has been in the industry since June 1990. Karen is currently registered with Transamerica Retirement Advisors, LLC and is located in Asheville, NC. Karen previously worked at Prosper Financial Services, Inc., Raymond James Financial Services, Inc., Transamerica Capital, Inc., Intersecurities, Inc., Transamerica Financial Resources, Inc., Transamerica Securities Sales Corporation and Kennedy, Cabot & Co. Karen holds several licenses and certifications, including Series 7, Series 24, Series 4, Series 63 and Series 66. Karen is a Registered Representative and Investment Advisor Representative in North Carolina. Karen provides investment advisory services to individuals and businesses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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2
NC
10/30/2018 - Present
Transamerica Retirement Advisors, LLC (Asheville NC)
NC
08/06/2012 - 11/15/2016
PROSPERA FINANCIAL SERVICES, INC. (ASHEVILLE NC)
NC
12/11/2008 - 08/07/2012
RAYMOND JAMES FINANCIAL SERVICES, INC. (ASHEVILLE NC)
CO
03/24/2004 - 01/04/2007
TRANSAMERICA CAPITAL, INC. (DENVER CO)
FL
12/21/2000 - 03/25/2004
INTERSECURITIES, INC. (ST. PETERSBURG FL)
CA
07/17/1989 - 02/01/2001
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
CA
07/17/1989 - 04/06/2000
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
CA
08/08/1988 - 05/23/1989
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NA
01/19/1988 - 04/12/1988
ALEX. BROWN & SONS INCORPORATED
BOTH
Issued 06/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/12/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/1989
Series 24 - General Securities Principal Examination
BC
Issued 11/22/1988
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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