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Karen Patricia-anne Barclay-baptiste

National Financial Services LLC

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About Karen Patricia-anne Barclay-baptiste

Karen Barclay-baptiste is an active advisor registered with FINRA. Karen has been in the industry since October 2, 2016. Karen is currently employed by National Financial Services LLC in Jersey City, New Jersey. Karen holds the Series 99 and SIE exams.

Firm Information

Karen Barclay-baptiste is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Karen Barclay-baptiste’s Registration & Firm History

NJ

10/03/2016 - Present

National Financial Services LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/2016

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Karen Patricia-anne Barclay-baptiste.
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