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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-08-10
SC RA APPROVED 2021-01-19
  • NC RA
    APPROVED
    Since 2023-08-10
  • SC RA
    APPROVED
    Since 2021-01-19

Branch Locations

Mount Pleasant, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 03/2013 → 08/2018
    Atlantic Coast Advisory Group Of Charleston
    Mt. Pleasant, SC
  • 05/2016 → 11/2018
    Signator Investors, Inc.
    Mount Pleasant, SC
  • 12/2016 → Present
    Rim Financial
    Mount Pleasant, SC
  • 11/2018 → Present
    Mount Pleasant, SC
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-11
S63 Uniform Securities Agent State Law Examination 2008-03-18
  • S65 Uniform Investment Adviser Law Examination
    2021-01-11
  • S63 Uniform Securities Agent State Law Examination
    2008-03-18
Other Names
  • Paul E Karnes

View on SEC IAPD

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