Karen D. Edwards

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CRD#: 1352811

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 Danette Edwards, who also goes by Karen Danette Childers, Stevie Edwards, was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1985. Karen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karen Danette Childers | Stevie Edwards

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®

None

Experience

Past

August 15, 2018 - August 31, 2020

GRAGG FINANCIAL

RIA

CRD#: 110592

SHELBY, NC

Past

August 21, 2017 - April 6, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHARLOTTE, NC

Past

June 21, 2016 - January 9, 2017

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

November 17, 1989 - November 2, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Past

July 25, 1985 - June 9, 1988

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

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".

GRAGG FINANCIAL

GRAGG & GRAGG, L.L.P. | GRAGG FINANCIAL | GRAGG & GRAGG, LLP | GRAGG & GRAGG, L.L.P., CPAS

CRD#: 110592 / SEC#: 801-119435

RIA

Registered Investment Advisory firm - (10/7/2020 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/13/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/15/1988

General Securities Principal Examination

Current Firm

GRAGG FINANCIAL

GRAGG & GRAGG, L.L.P. | GRAGG FINANCIAL | GRAGG & GRAGG, LLP | GRAGG & GRAGG, L.L.P., CPAS

CRD#: 110592 / SEC#: 801-119435

RIA

Registered Investment Advisory firm - (10/7/2020 Approved)

North Carolina

Registered Investment Advisory firm - (10/7/2020 Terminated)

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Contact information

Main Address

Nine East Marion Street, Shelby, NC 28150

Mailing Address

Phone number

(704) 482-2001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 BRYON GRAGG (2/3/2025)

ADV 2 JASON GRAGG (2/3/2025)

ADV PART 2 (2/3/2025)

Regulatory assets under management

Total Number of Accounts	452
AUM (Assets Under Management)	$ 205,209,381

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/18/2024	Cover Page	Report
10/27/2023	Cover Page	Report
12/14/2022	Cover Page	Report

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.

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Firm Stability Insights

Karen D. Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

GRAGG FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/2018

Series 63

Date: 8/8/2016

SIE

Date: 4/6/2018

Series 7

Date: 6/21/2016

Series 24

Date: 1/15/1988

Current Firm

GRAGG FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GRAGG FINANCIAL

TRUST BUT VERIFY

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