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 Lewis has been in the financial services industry since June 8, 1991. Karen is a Registered Representative and an Investment Advisor Representative. Karen is currently registered with Wells Fargo Clearing Services, LLC, which has been her employer since November 2016. Karen also works with Wells Fargo Advisors LLC. Karen is a licensed professional in 48 states and also holds licenses in Puerto Rico and the District of Columbia. Karen has been active in the financial services industry for over 30 years, working with a variety of clients. Karen is a valuable resource for individuals, families, and businesses seeking guidance and support with their financial planning needs.
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
FL
10/01/2000 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
NC
11/09/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
CA
04/19/1995 - 02/05/1997
FIRST ASSOCIATED SECURITIES GROUP, INC. (CHICO CA)
FL
08/10/1992 - 02/14/1995
SOUTHERN CAPITAL SECURITIES, INC. (TAMPA FL)
NJ
07/18/1989 - 11/20/1990
J. B. HANAUER & CO. (PARSIPPANY NJ)
BOTH
Issued 01/26/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/09/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1989
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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