Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karoleen? Claim Your ProfileKaroleen Karam Francis is a financial advisor registered with Fidelity Brokerage Services LLC. Karoleen has been in the financial services industry since 2019. Karoleen is licensed to sell securities in 22 states. Karoleen holds Series 7TO, Series 6TO, 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.
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.
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2
TX
02/16/2022 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
NY
07/01/2019 - 01/24/2022
TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)
CO
07/01/2019 - 07/01/2019
TRANSAMERICA CAPITAL, INC. (DENVER CO)
BC
Issued 11/13/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2022
Series 7TO - General Securities Representative Examination
BC
Issued 06/29/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/03/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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