Karen Shaw
Karen Shaw is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in New York, NY, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
One Bryant Park, New York, NY, 10036
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Karen is involved with the Woodville Eagles Athletic Booster Club as Treasurer and on the Board of Directors, and also serves on the Board of Directors for Woodville United Methodist Church Wee Wisdom Pre School. Additionally, Karen co-owns a rental home for her mother with her sister, covering expenses and collecting rent to break even.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Neuberger Berman, LLC
Neuberger Berman, LLCBroker
Signal Securities, INC.Broker
Southwest Securities, INC.Broker
State Registrations20 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.