Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Coles is a financial advisor with over 17 years of experience in the industry. Karen is currently registered with LPL Financial LLC and has been with the firm since February 2018. Prior to that, Karen was with INVEST FINANCIAL CORPORATION, ONEIDA WEALTH MANAGEMENT, INC., CADARET, GRANT & CO., INC., and RBC CAPITAL MARKETS, LLC. Karen holds FINRA Series 7, 63, and SIE licenses and is registered to provide investment advice in New York.
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.
Consulting and other non-discretionary advisory services
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.
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NY
02/14/2018 - Present
LPL Financial LLC (SYRACUSE NY)
NY
04/20/2016 - 02/14/2018
INVEST FINANCIAL CORPORATION (SYRACUSE NY)
NY
04/10/2014 - 04/20/2016
ONEIDA WEALTH MANAGEMENT, INC. (CHITTENANGO NY)
NY
06/03/2011 - 10/31/2014
CADARET, GRANT & CO., INC. (NORTH SYRACUSE NY)
NY
02/15/2011 - 06/06/2011
RBC CAPITAL MARKETS, LLC (NEW HARTFORD NY)
NY
12/19/2008 - 10/04/2010
CADARET, GRANT & CO., INC. (NORTH SYRACUSE NY)
NY
03/26/2002 - 12/14/2006
RBC DAIN RAUSCHER INC. (SYRACUSE NY)
BC
Issued 04/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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