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KM

Karen R. Morse

Some features on this profile are disabled
CRD#: 1621570
KM

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Karen Rae Morse, CFP® was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1987. Karen had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1990

Experience

Past

November 1, 2018 - January 11, 2021

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
OAK BROOK, IL
Past

April 22, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
OAK BROOK, IL
Past

August 26, 2010 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA
CRD#: 113299
OAK BROOK, IL
Past

August 26, 2010 - April 22, 2016

SANDERS MORRIS LLC

BD
CRD#: 20580
OAK BROOK, IL
Past

June 17, 2009 - April 30, 2010

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

December 15, 2005 - December 31, 2005

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

January 8, 2004 - January 23, 2006

SBSB FINANCIAL ADVISORS

RIA
CRD#: 109732
CHICAGO, IL
Past

May 1, 2002 - December 31, 2005

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

September 26, 2001 - May 1, 2002

HARRIS INVESTORLINE INC.

BD
CRD#: 6362
SEATTLE, WA
Past

January 5, 2000 - April 4, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 24, 1987 - September 19, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/3/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/12/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1987
General Securities Representative Examination

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EDELMAN FINANCIAL ENGINES

CRD#: 104510

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