Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karin? Claim Your ProfileKarin Dovey is an investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Karin has been in the financial industry since 1993 and holds a variety of licenses including Series 7, Series 10, Series 24, Series 52, Series 53, Series 63, Series 65, and SIE. Karin has worked with a number of firms including Wells Fargo Securities Inc., First Allied Securities, Inc., and Banc of America Investment Services, Inc. Karin's areas of expertise include portfolio management for individuals and businesses, pension consulting, and research reports and services.
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
RI
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
NC
12/05/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
CA
12/13/2000 - 10/31/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
06/16/1998 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
12/01/1999 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
04/23/1998 - 06/04/1998
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
04/21/1993 - 01/29/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
IA
Issued 10/1/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/8/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 1/11/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 9/14/1998
Series 4 - Registered Options Principal Examination
BC
Issued 2/27/1996
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/20/1993
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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