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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Phillips is a financial advisor with Ameriprise Financial Services, LLC. Karen has been in the financial industry since 1996 and is registered with the state of Rhode Island and Texas. Karen has a variety of licenses and certifications, including Series 7, 63, 66, 9 and 10. Karen has worked with Morgan Stanley, Wells Fargo Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Prudential Securities Incorporated before joining Ameriprise. Ameriprise Financial Services, LLC has a wide range of investment advisory services to offer clients. These services include financial planning, pension consulting, educational seminars, portfolio management for individuals and businesses, and more. Karen has over 25 years of experience helping individuals and families achieve their 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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
1
2
RI
01/04/2016 - Present
Ameriprise Financial Services, LLC (PROVIDENCE RI)
MA
07/20/2012 - 07/01/2014
MORGAN STANLEY (NORWELL MA)
RI
03/08/2000 - 07/10/2012
WELLS FARGO ADVISORS, LLC (PROVIDENCE RI)
NY
06/30/1999 - 01/14/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/14/1996 - 06/29/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 10/19/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/12/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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