Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Rochelle Smith is an investment professional with over 4 years of experience in the financial services industry. Karen is a registered representative of U.s. Bancorp Investments, Inc. and is licensed to offer securities and investment advisory services in California. Karen has a Series 6 license which allows her to sell mutual funds, variable annuities and other investment company products. She also holds a Series 63 license which allows her to conduct securities business in California. Karen has extensive experience providing financial planning and investment management services to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Karen has a deep understanding of the financial markets and a commitment to providing her clients with personalized financial advice.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
05/26/2023 - Present
U.s. Bancorp Investments, Inc. (Los Angeles CA)
CA
11/13/2019 - 05/26/2023
UNIONBANC INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
08/03/2018 - 05/01/2019
UNIONBANC INVESTMENT SERVICES, LLC (LOS ANGELES CA)
BC
Issued 02/18/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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