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Karen Lima

Seterios Wealth Advisors, LLC

Lexington, KY

CRD 7628480

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Employer firm

Seterios Wealth Advisors, LLC CRD 322824

$2.74M regulatory AUM 2 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Seterios Wealth Advisors, Llc

Lexington, KY • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2024-02-23
FL RA APPROVED 2023-02-07
  • KY RA
    APPROVED
    Since 2024-02-23
  • FL RA
    APPROVED
    Since 2023-02-07

Branch Locations

Lexington, KY • 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
Smr, Inc. Sarasota FL 08/2011 12/2018
The Lima-Cooper Group, Coldwell Banker Sarasota FL 01/2015 01/2022
Seterios Wealth Advisors Llc Lexington KY 01/2020 Present
  • 08/2011 → 12/2018
    Smr, Inc.
    Sarasota, FL
  • 01/2015 → 01/2022
    The Lima-Cooper Group, Coldwell Banker
    Sarasota, FL
  • 01/2020 → Present
    Seterios Wealth Advisors Llc
    Lexington, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-03
  • S65 Uniform Investment Adviser Law Examination
    2022-09-03

View on SEC IAPD

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