Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Shaw is a registered representative with RBC Capital Markets, LLC, and has been in the financial services industry since 1999. Karen's experience spans across various firms, including Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Neuberger Berman. Karen has a strong background in advising a diverse clientele, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, and state or municipal government entities. She has a proven track record in providing comprehensive financial planning services, including portfolio management, investment advisory, and retirement planning. Karen is committed to assisting clients in achieving their financial goals and has a reputation for building strong and lasting relationships.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating 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.
1
2
TX
08/30/2016 - Present
RBC Capital Markets, LLC (Lufkin TX)
TX
09/07/2012 - 09/02/2016
MORGAN STANLEY (LUFKIN TX)
TX
10/27/2005 - 08/14/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LUFKIN TX)
NY
09/18/2000 - 03/01/2005
NEUBERGER BERMAN, LLC (NEW YORK NY)
TX
03/22/2000 - 09/25/2000
SIGNAL SECURITIES, INC. (FORT WORTH TX)
TX
02/09/2000 - 03/17/2000
SOUTHWEST SECURITIES, INC. (DALLAS TX)
BOTH
Issued 05/01/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Karen Shaw is the right advisor for you? Invested Better is here to help.
