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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 a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Karin is a registered representative in Rhode Island. Karin has been a financial advisor since 1993 and has experience with a variety of clients, including individuals, businesses, and institutions. Karin has worked with Great Western Financial Securities Corporation, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Securities Inc., Wells Fargo Investments, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., and First Allied Securities, Inc.
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 10/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/08/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/11/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/14/1998
Series 4 - Registered Options Principal Examination
BC
Issued 02/27/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1993
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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