Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Wu Ho is a financial advisor with over 20 years of experience in the industry. Karen is currently registered with Barclays Capital Inc., a firm that is active in the Broker-Dealer space. Karen has previously held positions with BANC OF AMERICA SECURITIES LLC. Karen has passed several industry exams including the Series 63, Series 24, Series 10, Series 9, Series 99TO, SIE, Series 55, Series 3 and Series 7.
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.
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.
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NY
02/05/2022 - Present
Barclays Capital Inc. (NEW YORK NY)
NY
09/09/1998 - 12/31/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 08/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2003
Series 24 - General Securities Principal Examination
BC
Issued 04/18/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/05/2022
Series 99TO - Operations Professional Examination
BC
Issued 12/13/2020
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/05/2002
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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