Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Carter is a financial advisor registered with Wells Fargo Clearing Services, LLC. Karen has been in the financial services industry since 2009 and has worked for Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC in Tucson, AZ. Karen has earned both Series 66 and Series 7 registrations. Karen holds active registrations in 8 states including Arizona, Arkansas, California, Massachusetts, Nevada, New Mexico, Texas and Utah. Karen is licensed to provide advisory services to individuals and businesses. In addition to financial planning and portfolio management, Karen provides investment consulting services to institutional clients.
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.
1
2
AZ
02/02/2010 - Present
Wells Fargo Clearing Services, LLC (TUCSON AZ)
BOTH
Issued 02/01/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/06/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2009
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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