Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Warner Lemay is a financial advisor with over 20 years of experience in the financial services industry. Karen currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Karen has held prior positions at Wells Fargo Clearing Services, LLC, PNC Investments, Weiss Capital Securities, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., First Union Securities, Inc., First Union Brokerage Services, Inc., and Mutual Service Corporation. Karen is registered with the state of Florida and Texas as an investment advisor representative. Karen has earned the Series 63, 10, 9, 24, SIE and 7 licenses.
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
FL
07/27/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
08/09/2013 - 07/06/2017
WELLS FARGO CLEARING SERVICES, LLC (STUART FL)
FL
06/29/2011 - 08/13/2013
PNC INVESTMENTS (STUART FL)
FL
07/07/2010 - 01/19/2011
WEISS CAPITAL SECURITIES, INC. (JUPITER FL)
FL
06/01/2009 - 10/08/2009
MORGAN STANLEY SMITH BARNEY (STUART FL)
FL
11/21/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (STUART FL)
MO
10/01/2000 - 11/15/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
10/14/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MA
01/20/1997 - 09/15/1997
MUTUAL SERVICE CORPORATION (BOSTON MA)
BC
Issued 01/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/17/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/12/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1996
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 Lemay is the right advisor for you? Invested Better is here to help.
