Karen Carter

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Tucson, AZ
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Tucson, AZ
• 03/2026 → Present
  Wells Fargo Advisors Financial Network
  Tucson, AZ

Other Businesses

TOP TIER CAKES; NON INVESTMENT RELATED; VAIL, AZ; START 11/11; 100% OWNERSHIP; 10 HRS PER MONTH 0 DURING TRADING; CAKE DECORATING | INTELLISHOP; NOT INV RELATED; TUCSON, AZ; MYSTERY SHOPPER; 03/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING; ENSURE COMPANY EMPLOYEES ARE CONDUCTING THEMSELVES AS REQUIRED DOORDASH ; NOT INV RELATED; SAN FRANCISCO, CA; DELIVERING GOODS; DASHER; START DATE: 10/25/2025; 10 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

• S66 Uniform Combined State Law Examination
  2010-02-01

Other Names

• Karen Carter
• Karen Sue Carter