Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Zeis is a financial advisor with UBS Financial Services Inc. She is registered to provide investment advice in Florida and Texas. Karen has been in the financial industry since 2010 and has experience with a variety of firms, including Morgan Stanley Smith Barney and Raymond James & Associates, Inc. Karen has also worked for UBS Financial Services Inc. since 2012. Karen provides financial planning, portfolio management, and educational seminars. She is committed to helping her clients achieve their financial goals. Karen specializes in investments for individuals, businesses, insurance companies, and pension plans.
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.
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.
See schedule d - miscellaneous
1
2
FL
05/06/2013 - Present
UBS Financial Services Inc. (FORT MYERS FL)
FL
02/18/2011 - 03/12/2012
MORGAN STANLEY SMITH BARNEY (FT. MYERS FL)
FL
11/10/2009 - 02/28/2011
RAYMOND JAMES & ASSOCIATES, INC. (FT. MYERS FL)
BOTH
Issued 06/12/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/16/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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