Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Schwartzman is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. She is a registered investment advisor in New Jersey, and is also registered as a securities agent in the state. Karen has been active in the financial services industry since November 2011. Karen has previously worked for Lincoln Financial Advisors Corporation, Deutsche Bank Securities Inc. and AUA Capital Management. Karen holds the Series 7, Series 63, Series 65, and SIE licenses. Karen focuses on providing portfolio management services for businesses and individuals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
03/31/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
06/15/2013 - 06/19/2015
LINCOLN FINANCIAL ADVISORS CORPORATION (CHERRY HILL NJ)
NY
04/16/1998 - 04/09/1999
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 03/30/2017
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/07/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Karen Schwartzman is the right advisor for you? Invested Better is here to help.
