Karen D. Holt

PEACHCAP TAX & ADVISORY

Atlanta, GA 30305

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CRD#: 1441235

Professional summary

Karen Dale Holt, who also goes by Karen Dale Elder, Karen Holt, is a registered financial advisor currently at PEACHCAP TAX & ADVISORY, LLC located in Atlanta, Georgia and PEACHCAP SECURITIES, INC. located in Atlanta, Georgia.

Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Karen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Dale Elder | Karen Holt

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.

Name of Business: West Mitchell CME Church Investment Related: No Address: 560 MLK Jr Drive, Atlanta, GA, 30314 Nature of Business: Church/Religious Organization Position/Title: Treasurer Start Date: 8/10/2008 Number of Hours Per Month: > 10 Hours Number of Hours During Trading Hours: 0 Describe: Responsible for processing weekly deposits and balancing church bank accounts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Dale Holt'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

November 29, 2016 - Present

PEACHCAP TAX & ADVISORY, LLC

Office #1: 550 Pharr Rd. Suite 700, Atlanta, GA 30305

RIA

CRD#: 158729

Atlanta, GA

Current

November 29, 2016 - Present

PEACHCAP SECURITIES, INC.

Office #1: 550 Pharr Rd. Suite 700, Atlanta, GA 30305Office #2: 550 Pharr Rd, Suite 700, Atlanta, GA 30305

CRD#: 25590

Atlanta, GA

Past

March 3, 2000 - December 1, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ATLANTA, GA

Past

March 3, 2000 - December 1, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ATLANTA, GA

Past

July 2, 1992 - March 2, 2000

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

November 24, 1990 - June 29, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

August 21, 1986 - December 3, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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".

PEACHCAP TAX & ADVISORY, LLC

INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC

CRD#: 158729 / SEC#: 801-107335

RIA

Registered Investment Advisory firm - (3/1/2016 Approved)

Georgia

Registered Investment Advisory firm - (5/5/2016 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.

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

California
(11/29/2016)

Florida
(2/7/2025)

Georgia
(12/9/2016)

IAR

Georgia
(12/9/2016)

Texas
(11/29/2016)

IAR

Texas
(11/29/2016)

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: 4/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PEACHCAP TAX & ADVISORY, LLC

INDEPENDENT WEALTH ADVISORS GROUP, LLC | PEACHTREE CAPITAL TAX AND ADVISORY, LLC | PEACHCAP TAX & ADVISORY, LLC | MILLER WEALTH ADVISORY, LLC

CRD#: 158729 / SEC#: 801-107335

RIA

Registered Investment Advisory firm - (3/1/2016 Approved)

Georgia

Registered Investment Advisory firm - (5/5/2016 Terminated)

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Contact information

Main Address

550 Pharr Rd. Suite 700, Atlanta, GA 30305

Mailing Address

Phone number

(404) 220-8958

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

ADV FORM 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	605
AUM (Assets Under Management)	$ 148,611,560

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. Holt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Dale Holt's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEACHCAP SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

EQUITY SERVICES, INC.

CHATFIELD DEAN & CO., INC.

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

PEACHCAP TAX & ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2002

Series 63

Date: 10/8/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

Series 24

Date: 2/28/2001

FINRA

Current Firm

PEACHCAP TAX & ADVISORY, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEACHCAP TAX & ADVISORY, LLC

TRUST BUT VERIFY

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