Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karla? Claim Your ProfileKarla Patricia Lema is an investment advisor representative currently registered with B. Riley Wealth Advisors, Inc. based in New York, NY. Karla has been working in the financial services industry since 1995. Karla has previously worked at UBS Financial Services Inc., RBC Dain Rauscher Inc., Tucker Anthony Incorporated, Ladenburg, Thalmann & Co., Inc., and M. J. Whitman, Inc. Karla is a licensed Investment Advisor Representative and holds both Series 7 and Series 63 licenses.
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.
A percentage of the total value of assets under management is charged.
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2
NY
06/23/2021 - Present
B. Riley Wealth Advisors, Inc. (NEW YORK NY)
NY
09/09/2005 - 05/19/2015
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
03/09/2002 - 09/29/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
06/28/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
07/24/1997 - 06/21/1999
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
06/21/1995 - 07/28/1997
M. J. WHITMAN, INC. (NEW YORK NY)
IA
Issued 05/09/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2015
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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