Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Rau is a registered Investment Advisor Representative, holding a Series 65 and Series 63 license. Karen has been in the industry since 1995 and has a strong history of experience in the financial services field. Karen is currently employed by Fiduciary Counselling Inc., where she has been working since August 2016. Prior to joining Fiduciary Counselling Inc., Karen worked at Fifth Third Securities, Inc. and Ausdal Financial Partners, Inc. Karen has worked in various roles at different companies, including Citigroup Global Markets Inc. and Citicorp Investment Services. Karen specializes in providing investment advisory services and financial planning services.
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.
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.
Strategic management for diversified investment portfolios.
Strategy/allocation advice for investment companies and private funds; investment recommendations for private funds
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.
A percentage of the total value of assets under management is charged.
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2
MN
12/03/2016 - Present
Fiduciary Counselling Inc. (ST PAUL MN)
IL
11/13/2013 - 08/09/2016
FIFTH THIRD SECURITIES, INC. (CARPENTERSVILLE IL)
IL
09/20/2010 - 10/07/2013
AUSDAL FINANCIAL PARTNERS, INC. (DOWNERS GROVE IL)
IL
05/29/2007 - 05/13/2010
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IL
04/12/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (CRYSTAL LAKE IL)
NY
04/05/1999 - 03/25/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
08/16/1995 - 06/02/1998
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 11/02/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/25/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/03/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/18/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/21/1999
Series 24 - General Securities Principal Examination
BC
Issued 08/09/2016
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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