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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-08-10 |
| SC | RA | APPROVED | 2021-01-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Atlantic Coast Advisory Group Of Charleston | Mt. Pleasant | SC | 03/2013 | 08/2018 |
| Signator Investors, Inc. | Mount Pleasant | SC | 05/2016 | 11/2018 |
| Rim Financial | Mount Pleasant | SC | 12/2016 | Present |
| Osaic Wealth, Inc. | Mount Pleasant | SC | 11/2018 | Present |
1) RIM FINANCIAL - FIXED INSURANCE POSITION: Insurance Agent NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 654 Palisades Drive, Mount Pleasant SC 29464 DESCRIPTION: Sales/marketing of Fixed Annuities and Non-variable Insurance 2) RIM FINANCIAL - SECURITIES POSITION: Investment Advisor Representative NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2019 ADDRESS: 654 Palisades Drive, Mount Pleasant SC 29464 DESCRIPTION: sales/marketing of securities, investment advisory and insurance products. 3) PAUL KARNES POSITION: Executor & POA for Mother and Father NATURE: NA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/03/2022 ADDRESS: 654 Palisades Drive, Mount Pleasant SC 29464, United States DESCRIPTION: My Parents, William and Susan Karnes, have named me executor and power of attorney over their estate. I am one of the beneficiaries along with my two siblings at the time of passing for both parents. I am the rep of record for some of their investment accounts.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 2008-03-18 |
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