Karen Alice Hartz

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → 11/2016
  Wells Fargo Advisors Llc
  Charlotte, NC
• 11/2016 → 12/2021
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 12/2021 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC

Previous Registrations

• 2010-09-30 → 2021-12-10
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  St. Louis, MO
• 2009-08-04 → 2010-09-22
  Edward Jones
  Indian Land, SC
  Charlotte, NC
  St Louis, MO

Other Businesses

I*631233 For profit or not for profit: Entity For Profit Name of outside business organization: Heart Light Candles Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 6/21/2021 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Small retail business that sells candles.

Exams

• S66 Uniform Combined State Law Examination
  2008-11-20

Other Names

• Karen Wing
• Karen H Wing
• Karen H Hartz