Karen Dalmau, financial advisor Santa Monica CA
93 score

Karen Dalmau

CRD Number: 5391320
Current Firm: Morgan Stanley

Karen Dalmau (CRD# 5391320) is an Investment Advisor Representative working at Morgan Stanley in Santa Monica, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Los Angeles, CA Mar 2014 - Current 2
Karen L Dalmau, Cdfa Redondo Beach, CA Mar 2013 - Current 3
Waddell & Reed, Inc. Torrance, CA Dec 2012 - Jan 2014 1
Various Insurance Carriers For W&r Insurance Agencies Redondo Beach, CA Dec 2012 - Jan 2014 1
Merrill Lynch, Pierce, Fenner & Smith, Inc. Redondo Beach, CA Jan 2011 - Dec 2012 1
Ameriprise Financial Services, Inc. Westwood, CA Nov 2009 - Jan 2011 1
Wells Fargo Investments Rancho Palos Verdes, CA May 2009 - Nov 2009 < 1
Wells Fargo Investments Rancho Palos Verdes, CA May 2009 - Nov 2009 < 1
Homemaker Redondo Beach, CA Jan 2009 - May 2009 < 1
Trovena, LLC Redondo Beach, CA Mar 2008 - Jan 2009 < 1
Edward Jones Redondo Beach, CA Jul 2007 - Feb 2008 < 1
Lucky Pup Dog Walking Redondo Beach, CA May 2006 - Jul 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2007
Contact Info for Karen L. Dalmau
Phone Number: 914-225-5510
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, 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, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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