KO
Karl W. Oaten
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CRD#: 2175964
KO
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.
Karl Wayne Oaten, who also goes by Karl Oaten, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1992. Karl had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karl Oaten
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.
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®
NoneExperience
Past
January 3, 2012 - October 18, 2012
KCD FINANCIAL, INC.
RIA
CRD#: 127473
LARGO, FL
Past
December 22, 2011 - October 18, 2012
KCD FINANCIAL, INC.
BD
CRD#: 127473
LARGO, FL
Past
September 27, 2010 - August 18, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LARGO, FL
Past
May 22, 2006 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ST. PETERSBURG, FL
Past
July 9, 1998 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST. PETERSBURG, FL
Past
February 5, 1997 - June 25, 1998
ELECTRONIC ACCESS DIRECT, INC.
BD
CRD#: 36975
SARASOTA, FL
Past
October 18, 1993 - January 14, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 30, 1993 - October 22, 1993
TUSCANY EQUITY MANAGEMENT CORPORATI0N
BD
CRD#: 20016
DEERFIELD BEACH, FL
Past
February 12, 1993 - April 29, 1993
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
December 1, 1992 - May 18, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
December 1, 1992 - May 18, 1993
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3061 Allied Street Suite B, Green Bay, WI 54304
Mailing Address
3061 Allied Street Suite B, Green Bay, WI 54304
Phone number
(920) 347-3400
Established
Wisconsin since 05/19/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (28 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 182,585,838 |
Disclosures
| Regulatory Event | 4 |
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.
