Karen Elizabeth Elliot

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 05/2012 → 09/2019
  Ameriprise Financial Services, Inc.
  Woodland Hills, CA
• 09/2019 → Present
  Wells Fargo Clearing Services, Llc
  Woodland Hills, CA

Previous Registrations

• 2012-05-25 → 2019-09-23
  Ameriprise Financial Services, Llc
  Woodland Hills, CA
  Woodland Hills, CA
  Westlake Village, CA
• 2010-02-16 → 2012-06-20
  Stockcross Financial Services, Inc.
  Beverly Hills, CA
• 2008-02-20 → 2009-10-06
  New England Securities
  Woodland Hills, CA
• 2007-10-19 → 2008-01-03
  Voya Financial Advisors, Inc.
  San Gabriel, CA
• 2005-12-19 → 2006-01-12
  Citicorp Investment Services
  Sherman Oaks, CA

Other Businesses

POSHMARK/MERCARI/AMAZON/EBAY DBA ELLIOT RESALE, NOT INVT RELATED, TARZANA, CA, 100% OWNERSHIP, START DATE 11/1/2023, 10 HRS PER MONTH, 0 HRS DURING TRADING, SELLING OLD CLOTHES ONLINE. VIKINGS CRUISES; NOT INV RELATED; WOODLAND HILLS, CA; STAFF; START 07/28/2023; 32 HOURS PER MONTH; 0 HOURS DURING TRADING; CRUISE STAFF.| ELLIOT RESALE, LLC; INV RELATED; TARZANA, CA; SELL BOOKS ;100% OWNERSHIP; START DATE: 09/06/2025; 12 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-12-17
• S63 Uniform Securities Agent State Law Examination
  1998-11-06

Other Names

• Karen Elizabeth Wood