Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Wawrzaszek is a financial advisor who has been working in the industry since 2006. Karen is currently registered with Northern Trust Securities, Inc. in Washington, DC, and has prior experience with firms such as Citigroup Global Markets Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., UST SECURITIES CORP. and PAINEWEBBER INCORPORATED. Karen holds a Series 63, Series 66, SIE, Series 7TO, and Series 7 license, demonstrating her dedication to providing comprehensive financial solutions.
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.
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.
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2
DC
12/19/2023 - Present
Northern Trust Securities, Inc. (Washington DC)
WA
01/14/2010 - 07/19/2011
CITIGROUP GLOBAL MARKETS INC. (SEATTLE WA)
NY
03/03/2008 - 06/19/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)
CT
10/26/2007 - 03/04/2008
UST SECURITIES CORP. (STAMFORD CT)
MD
09/19/2006 - 10/26/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHEVY CHASE MD)
NJ
09/21/1999 - 06/23/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 02/10/2024
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 04/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2023
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/18/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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