Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Merker is a financial professional with over 30 years of experience in the financial services industry. Karen is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and currently works with individual, high-net-worth individuals, corporate and institutional clients. Karen provides a variety of services including financial planning, investment management, and pension consulting. Karen has a strong background in the financial services industry, holding licenses and registrations in both the broker-dealer and investment advisor realms. Karen is a dedicated professional and works to ensure clients have the financial security to pursue their 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
02/06/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LA JOLLA CA)
NY
02/29/2000 - 02/15/2001
J. P. MORGAN ADVISORY SERVICES INC. (NEW YORK NY)
NY
12/22/1999 - 02/15/2001
J. P. MORGAN ADVISORS, INC. (NEW YORK NY)
NY
09/14/1996 - 01/28/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NE
05/24/1994 - 08/12/1996
NATIONAL DISCOUNT BROKERS (OMAHA NE)
TN
09/03/1993 - 05/27/1994
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
NY
05/26/1992 - 07/15/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
05/26/1992 - 07/15/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 04/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/26/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/28/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/14/1994
Series 4 - Registered Options Principal Examination
BC
Issued 07/31/1992
Series 24 - General Securities Principal Examination
BC
Issued 03/08/2023
Series 31 - Futures Managed Funds Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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