Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Lemay is a financial professional with over two decades of experience in the industry. Karen has held positions with several prominent firms including WELLS FARGO CLEARING SERVICES, LLC, PNC INVESTMENTS, WEISS CAPITAL SECURITIES, INC. and MORGAN STANLEY SMITH BARNEY. Karen currently holds registrations as a Registered Representative and Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc., serving clients in Florida and Texas.
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 1/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/19/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/17/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 6/12/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
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
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