Karen Caulfield (CRD# 1452214) is an Investment Advisor Representative working at D.a. Davidson & Company in Austin, TX and has over 30 years of experience in the finance industry.
CRD# 4431657
Pbl Wealth Management
CRD# 5872877
Orchard Financial
CRD# 2827672
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| D.a. Davidson & Company | Austin, TX | Mar 2023 - Current | 1 |
| Hilltop Securities Inc. | Dallas, TX | Oct 2016 - Mar 2023 | 6 |
| Unemployed | Austin, TX | May 2016 - Oct 2016 | < 1 |
| Voya Financial Advisors, Inc. | Austin, TX | Jan 2016 - May 2016 | < 1 |
| Cvm Engineering Inc. | Liberty Hill, TX | Sep 2015 - Dec 2015 | < 1 |
| Unemployed | Liberty Hill, TX | Mar 2015 - Sep 2015 | < 1 |
| Oppenheimer & Company Inc. | Austin, TX | Sep 2010 - Feb 2015 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1993 |
| S65 | NASAA Investment Advisors Law Examination | Jul 2009 |
- TX
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Total Assets Under Management27,925MILLIONS
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Total Number of Accounts81,264ACCOUNTS
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Average Account Value$343,638
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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