Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kari? Claim Your ProfileKari Middleton is a financial advisor registered with LPL Financial LLC and has been in the industry since April 20, 2003. Kari has worked for a number of firms, including PURSHE KAPLAN STERLING INVESTMENTS, BCG SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and BANC OF AMERICA INVESTMENT SERVICES, INC. Currently, Kari is based in Bermuda Dunes, CA. Kari is licensed to sell securities in 12 states and is qualified to provide investment advisory services in California.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
12/10/2010 - Present
LPL Financial LLC (BERMUDA DUNES CA)
CA
08/27/2010 - 12/08/2010
PURSHE KAPLAN STERLING INVESTMENTS (PALM DESERT CA)
CA
01/28/2010 - 09/27/2010
BCG SECURITIES, INC. (PALM SPRINGS CA)
CA
05/23/2008 - 01/25/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)
CA
01/24/2005 - 05/16/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN DIEGO CA)
NY
04/25/2001 - 03/10/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/30/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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