Sebastian Karpen, financial advisor New York NY

Sebastian Karpen

CRD Number: 6508221
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sebastian Karpen (CRD# 6508221) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. New York, NY Jan 2021 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York, NY Sep 2020 - Current 1
Wealth Enhancement Advisory Services Plymouth, MN Jan 2018 - Aug 2020 2
Wealth Enhancement Advisory Services, LLC Houston, TX May 2017 - Aug 2020 3
Lpl Financial LLC Houston, TX May 2017 - Aug 2020 3
Wealth Enhancement Brokerage Services Plymouth, MN May 2017 - Aug 2020 3
Jp Morgan Securities LLC Houston, TX Jul 2016 - May 2017 < 1
Jp Morgan Chase Bank Houston, TX Jul 2016 - May 2017 < 1
Unemployed Houston, TX Dec 2015 - Jul 2016 < 1
Creighton University Omaha, NE Aug 2011 - Dec 2015 4
Northwestern Mutual Houston, TX May 2015 - Aug 2015 < 1
Morgan Systems International Houston, TX Jun 2012 - Jul 2012 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2017
S63 Uniform Securities State Law Examination Oct 2016
Contact Info for Sebastian A. Karpen
Phone Number: 800-637-7455
Registered State(s):
  • CT
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    1,084,544
    MILLIONS
  • Total Number of Accounts
    2,605,171
    ACCOUNTS
  • Average Account Value
    $416,304
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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