Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Wolffis has been in the financial services industry since 1994. Karen is a registered representative and investment advisor representative with Ameriprise Financial Services, LLC. Karen holds the Series 63, Series 65, Series 7, and Series 9 & 10 licenses and the SIE exam. Karen's previous employers include Wells Fargo Clearing Services, LLC, PNC Investments, Thrivent Investment Management Inc., NatCity Investments, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Dean Witter Reynolds Inc., Wheat, First Securities, Inc., and J.J.B. Hilliard, W.L. Lyons, Inc. Karen offers a wide range of services to her clients, including financial planning, portfolio management for individuals and businesses, and asset allocation services. Karen's clients include individuals, high-net-worth individuals, corporations, trusts, estates, pension and profit-sharing plans, charitable organizations, and insurance companies.
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.
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2
IN
03/22/2022 - Present
Ameriprise Financial Services, LLC (Indianapolis IN)
IN
07/07/2014 - 09/09/2021
WELLS FARGO CLEARING SERVICES, LLC (INDIANAPOLIS IN)
IN
11/07/2013 - 07/01/2014
PNC INVESTMENTS (INDIANAPOLIS IN)
IN
02/19/2009 - 05/17/2013
THRIVENT INVESTMENT MANAGEMENT INC. (CARMEL IN)
IN
09/29/2008 - 12/10/2008
NATCITY INVESTMENTS, INC. (CARMEL IN)
IN
07/01/1996 - 07/09/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
NY
01/01/1995 - 06/13/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NC
11/07/1994 - 12/08/1994
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
KY
11/26/1993 - 11/14/1994
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
IA
Issued 09/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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