Karen C. Vining

INCOMPASS FINANCIAL PARTNERS

ALPHARETTA, GA 30004

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CRD#: 1262009

Professional summary

Karen Campbell Vining, who also goes by Karen Elizabeth Campbell, is a registered financial advisor currently at INCOMPASS FINANCIAL PARTNERS, LLC located in Alpharetta, Georgia and OSAIC WEALTH, INC. located in Alpharetta, Georgia.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Karen has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Elizabeth Campbell

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) - RIA

Click below to view Karen Campbell Vining's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

June 25, 2022 - Present

INCOMPASS FINANCIAL PARTNERS, LLC

Office #1: 1602 Abbey Court, Alpharetta, GA 30004

RIA

CRD#: 318227

ALPHARETTA, GA

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1602 Abbey Ct, Alpharetta, GA 30004

RIA

CRD#: 23131

Alpharetta, GA

Past

March 29, 2019 - July 1, 2022

TRIAD ADVISORS LLC

RIA

CRD#: 25803

MARIETTA, GA

Past

April 29, 2015 - August 14, 2019

SOUTHBRIDGE

RIA

CRD#: 119040

MARIETTA, GA

Past

October 14, 2005 - October 7, 2015

VINING FINANCIAL

RIA

CRD#: 126317

MARIETTA, GA

Past

July 2, 1998 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

MARIETTA, GA

Past

January 31, 1997 - July 2, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 26, 1989 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

January 21, 1988 - February 6, 1989

MARSHALL & CO. SECURITIES, INC.

CRD#: 17942

Past

February 23, 1987 - February 1, 1988

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

October 18, 1984 - March 12, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

August 21, 1984 - October 25, 1984

NORRIS & HIRSHBERG, INC.

CRD#: 2929

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".

INCOMPASS FINANCIAL PARTNERS, LLC

CRD#: 318227 / SEC#: 801-123067

RIA

Registered Investment Advisory firm - (1/18/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/23/2024)

Alaska
(8/23/2024)

Arkansas
(8/23/2024)

California
(8/23/2024)

Colorado
(8/23/2024)

Connecticut
(8/23/2024)

Florida
(8/23/2024)

IAR

Georgia
(6/25/2022)

Georgia
(8/23/2024)

Illinois
(8/23/2024)

Iowa
(8/23/2024)

Kentucky
(8/23/2024)

Maine
(8/23/2024)

Maryland
(8/23/2024)

Massachusetts
(8/23/2024)

Michigan
(8/23/2024)

Minnesota
(8/23/2024)

Mississippi
(8/23/2024)

Missouri
(8/23/2024)

Nebraska
(8/23/2024)

Nevada
(8/23/2024)

New York
(8/23/2024)

North Carolina
(8/23/2024)

Ohio
(8/23/2024)

Oregon
(8/23/2024)

Pennsylvania
(8/23/2024)

South Carolina
(8/23/2024)

Tennessee
(8/23/2024)

Texas
(8/23/2024)

Virginia
(8/23/2024)

Washington
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INCOMPASS FINANCIAL PARTNERS, LLC

CRD#: 318227 / SEC#: 801-123067

RIA

Registered Investment Advisory firm - (1/18/2022 Approved)

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Contact information

Main Address

1602 Abbey Court, Alpharetta, GA 30004

Mailing Address

Phone number

(770) 971-9141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IFP FORM ADV PART 2A (2/18/2026)

Regulatory assets under management

Total Number of Accounts	867
AUM (Assets Under Management)	$ 192,040,869

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Karen C. Vining

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Campbell Vining's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

SOUTHBRIDGE

VINING FINANCIAL

TRIAD ADVISORS LLC

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

MARSHALL & CO. SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

THE STUART-JAMES COMPANY, INCORPORATED

NORRIS & HIRSHBERG, INC.

Primary Firm SEC Registration

INCOMPASS FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/1996

Series 63

Date: 9/18/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 24

Date: 7/26/1993

FINRA

Current Firm

INCOMPASS FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INCOMPASS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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