Karen Lee Looper

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 01/2014 → 10/2025
  Bmo Bank Na
  San Francisco, CA
• 07/2023 → 10/2025
  Lpl Financial Llc
  Lodi, CA
• 11/2025 → Present
  Morgan Stanley
  Modesto, CA

Previous Registrations

• 2023-07-19 → 2025-10-16
  Lpl Financial Llc
  Lodi, CA
  Stockton, CA
  Lockeford, CA
  Oakdale, CA
  Stockton, CA
• 2014-02-10 → 2023-07-19
  Bancwest Investment Services, Inc.
  Lodi, CA
  Stockton, CA
  Sacramento, CA
  Stockton, CA
  Stockton, CA
  Stockton, CA
  Lockeford, CA
  Stockton, CA
  Stockton, CA
  Stockton, CA
  Littleton, CO
  Oakdale, CA
• 2011-01-03 → 2014-02-04
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  Modesto, CA
  Charlotte, NC
• 2001-05-15 → 2011-01-03
  Wells Fargo Investments, Llc
  Modesto, CA
  Modesto, CA

Other Businesses

*598 - J.L. Quality Consulting, LLC; Investment related-Yes; Oakdale, California; Consulting; Member of the LLC (proprietor, partner, officer, director, employee, trustee, agent); 02/2014; During business hours: 0; After business hours: 1; Administrative, Accounting/Bookkeeping. *599 - Rental Property; Investment related-Yes; Oakdale, California; Rental Property; Property owner (proprietor, partner, officer, director, employee, trustee, agent); 03/2025; During business hours: 0; After business hours: 1; Accounting/Bookkeeping, Administrative.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-09
• S63 Uniform Securities Agent State Law Examination
  2000-06-20

Other Names

• Karen Fraguero
• Karen Fraguero Looper
• Karen Lee Fraguero
• Karen Lee Fraguero Looper