Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karrie? Claim Your ProfileKarrie Simm is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Karrie has been in the industry since 2009 and is registered with FINRA and in several states, including Ohio, Texas, Florida, Indiana, Kentucky, Michigan, Pennsylvania and West Virginia. Karrie is also an investment advisor representative and specializes in providing portfolio management for individuals and businesses, as well as pension consulting. Karrie also offers educational seminars to clients.
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
OH
09/18/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROCKY RIVER OH)
OH
04/05/2010 - 01/17/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PEPPER PIKE OH)
CA
03/27/2009 - 04/07/2010
WELLS FARGO INVESTMENTS, LLC (CULVER CITY CA)
BOTH
Issued 06/21/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/26/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/19/2023
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2023
Series 7TO - General Securities Representative Examination
BC
Issued 03/26/2009
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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