Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Moore is a financial advisor with UBS Financial Services Inc. with over 20 years of experience in the industry. Karen has worked at a number of firms during her career, including Lehman Brothers Inc, Morgan Stanley DW Inc. and Barclays Capital Inc. Karen holds the Series 63, 65, 7 and SIE licenses. Karen is registered with the state of New York as an Investment Advisor Representative and a Registered Representative. Karen is also registered in South Carolina as an Investment Advisor Representative and a Registered Representative.
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.
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.
See schedule d - miscellaneous
1
2
PA
07/05/2023 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
NY
07/29/2009 - 01/25/2011
CDK FINANCIAL SERVICES, LLC (NEW YORK NY)
NY
09/22/2008 - 02/12/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
03/03/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/16/2003 - 02/16/2006
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
10/01/2000 - 07/31/2001
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
NY
05/01/1995 - 12/19/1995
ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)
NY
05/05/1993 - 12/16/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
GA
07/31/1990 - 05/21/1993
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
NY
10/16/1989 - 08/08/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
TN
02/22/1989 - 05/22/1989
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BC
Issued 01/31/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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