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Karen Morris

B. Riley Wealth Advisors, INC.
25 Years of Experience
Sandusky, OH
1 DisclosureBroker
View SEC Summary
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Karen Morris is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Sandusky, OH, with 25 years of industry experience. Karen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 10,573 clients with $4.2B in assets under management.

B. Riley Wealth Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
167 advisors
Number of Clients
10,573 clients
Average Client Portfolio
$398K average
Assets Under Management
$4.2B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.75%
$250K - $1.0M2.50%
$1M+2.00%

Maximum annual fee rates shown. Rates vary depending on whether transaction fees are bundled (wrap) or paid separately (non-wrap). Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1617 West Bogart Road, Suite 5 S, Sandusky, OH, 44870

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Karen is involved in several outside business activities. She operates her financial securities business through Morris Financial Services LLC, spends time as treasurer for Campbell Christian Community Center, is a board member and treasurer for Polar Bear Swim Club, will be the future owner of Moyer Tax Accounting, and owns Morris Tax Services LLC.

Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
August 2022 - Present · 4 yrs 2 mos
B. Riley Wealth ManagementBroker
September 2017 - Present · 9 yrs 1 mo
Previous Registrations
B Riley Wealth Management
September 2017 - December 2022 · 5 yrs 3 mos
PNC Investments
April 2012 - July 2017 · 5 yrs 3 mos
PNC InvestmentsBroker
April 2012 - July 2017 · 5 yrs 3 mos
Edward Jones
January 2007 - February 2012 · 5 yrs 1 mo
Edward JonesBroker
May 2001 - February 2012 · 10 yrs 9 mos
State Registrations9 states
FLGAKYNCOHPATNTXWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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