Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kari? Claim Your ProfileKari Michelle Riggs is a financial advisor with over 15 years of experience in the industry. Currently, Kari is registered with UBS Financial Services Inc. and holds Series 7, Series 66 and SIE licenses. Prior to her current position, Kari held positions at Morgan Stanley, BOSC, INC., and Southwest Securities, INC.. Kari is registered in Oklahoma and Texas. Kari specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and other businesses. Kari also specializes in providing financial planning, portfolio management, and pension consulting.
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.
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.
See schedule d - miscellaneous
1
2
OK
11/27/2012 - Present
UBS Financial Services Inc. (OKLAHOMA CITY OK)
OK
04/15/2010 - 11/07/2012
MORGAN STANLEY (OKLAHOMA CITY OK)
OK
07/02/2008 - 03/30/2010
BOSC, INC. (OKLAHOMA CITY OK)
OK
09/26/2007 - 06/19/2008
SOUTHWEST SECURITIES, INC. (OKLAHOMA CITY OK)
BOTH
Issued 10/23/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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