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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Vance is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. Karen has been working in the financial services industry since April 1998 and has been registered with Merrill Lynch since December 1998. Karen specializes in providing investment advice and portfolio management services for businesses, individuals, and pension plans. Karen holds the Series 63, Series 65, Series 7, and SIE licenses. Karen is also registered to provide investment advice in Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Louisiana, Maine, Massachusetts, Michigan, Minnesota, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, Wisconsin, and Wyoming.
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
WA
10/09/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SEATTLE WA)
CA
07/01/1998 - 12/22/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
11/03/1997 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
IA
Issued 09/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1997
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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