Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Roberts is a financial advisor with Morgan Stanley, based in Irvine, California. Karen has been in the financial industry since 2012 and has a deep understanding of the market. Karen is registered with the state of California and Texas, and holds a number of licenses and certifications including Series 7, 9, 10, 66 and SIE. Karen is committed to providing her clients with personalized financial advice and investment solutions. Karen is a highly experienced and qualified financial advisor who can help you reach your financial goals.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
07/21/2023 - Present
Morgan Stanley (Irvine CA)
CA
12/22/2020 - 04/14/2022
CHARLES SCHWAB & CO., INC. (Upland CA)
CA
12/16/2015 - 12/31/2020
TD AMERITRADE, INC. (Upland CA)
CA
03/28/2012 - 12/20/2013
METLIFE SECURITIES INC. (BREA CA)
CA
06/25/2008 - 09/21/2010
THRIVENT INVESTMENT MANAGEMENT INC. (ONTARIO CA)
BOTH
Issued 07/08/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/04/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Karen Roberts is the right advisor for you? Invested Better is here to help.
