Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Roth is a financial advisor with Wells Fargo Clearing Services, LLC. Karen has been in the financial industry for over 20 years, and has been a registered representative of Wells Fargo Clearing Services, LLC since 2016. Before joining Wells Fargo Clearing Services, LLC, Karen worked as an investment advisor representative for Associated Investment Services, Inc. and Wells Fargo Advisors, LLC. Karen is licensed to sell securities in Arizona, Arkansas, California, Colorado, Florida, Illinois, Iowa, Maryland, Michigan, Minnesota, Mississippi, Missouri, New Mexico, New York, North Carolina, Oregon, Texas, Virginia, and Wisconsin. Karen specializes in providing financial advice to individuals, businesses, corporations, and charitable organizations.
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.
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.
Investment consulting services to institutional clients
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
WI
08/27/2014 - Present
Wells Fargo Clearing Services, LLC (WAUSAU WI)
WI
02/15/2011 - 09/03/2014
ASSOCIATED INVESTMENT SERVICES, INC. (STEVENS POINT WI)
WI
08/22/2001 - 12/17/2010
WELLS FARGO ADVISORS, LLC (APPLETON WI)
IA
Issued 03/11/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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