Karen W. Mcdade
ASHTON THOMAS PRIVATE WEALTH
Scottsdale, AZ 85254
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CRD#: 2193447
Professional summary
Karen Wozniak Mcdade, AIF®, CFP®, who also goes by Karen Lynn Wozniak, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Scottsdale, Arizona and M. S. HOWELLS & CO. located in Scottsdale, Arizona.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Karen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Life Transitions
Insurance Planning
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Karen Lynn Wozniak
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.
(1) AUG 2016; ASHTON THOMAS PRIVATE WEALTH LLC, SCOTTSDALE, AZ; FEE-BASED ASSET MANAGEMENT; INVESTMENT ADVISER REPRESENTATIVE; DEVOTE 30 HOURS PER WEEK DURING MARKET HOURS. (2) AUG 2016; ASHTON THOMAS INSURANCE AGENCY, SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENCY; INSURANCE AGENT; DEVOTE 15 HRS/MO DURING MARKET HOURS.
(3) 2014; GIRL SCOUTS CACTUS PINE, PHOENIX AZ; NON INVESTMENT RELATED; DEVELOP TOOLS FOR THE COUNCIL TO IMPROVE OVERALL FINANCIAL LITERACY; INNOVATION CIRCLE/BOARD MEMBER; DEVOTE 4HRS/MONTH DURING MARKET HOURS.
(4) AUG 2016; FPA, PHOENIX, AZ; NON INVESTMENT RELATED; VOLUNTEER VARIOUS ACTIVITIES; DEVOTE 6 HRS/MONTH, 2 HRS/MONTH DURING MARKET HOURS.
(5) 2017; HFMA-WOMEN LEAD HERE, PHOENIX, AZ; NON INVESTMENT RELATED; VOLUNTEER SPEAKER; DEVOTE AS NEEDED HOURS ANNUALLY.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Wozniak Mcdade's 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®
CFP®
Start date: 2002
Experience
Current
August 12, 2016 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 14648 North Scottsdale Rd. Suite 100, Scottsdale, AZ 85254RIA
CRD#: 153902
Scottsdale, AZ
Current
August 1, 2018 - Present
M. S. HOWELLS & CO.
Office #1: 8605 E. Raintree Dr. Suite 280, Scottsdale, AZ 85260BD
CRD#: 104100
Scottsdale, AZ
Past
August 13, 2016 - August 20, 2018
PEACHCAP SECURITIES, INC.
BD
CRD#: 25590
Scottsdale, AZ
Past
January 22, 2009 - August 16, 2016
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
SCOTTSDALE, AZ
Past
January 2, 2009 - August 16, 2016
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SCOTTSDALE, AZ
Past
August 1, 2007 - January 7, 2009
USF ADVISORS, LLC
RIA
CRD#: 130569
HOUSTON, TX
Past
August 1, 2007 - January 7, 2009
USF SECURITIES, L.P.
BD
CRD#: 37942
SCOTTSDALE, AZ
Past
October 31, 2005 - August 6, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
GLENDALE, AZ
Past
September 14, 1994 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
February 4, 1994 - June 21, 1994
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 3, 1993 - March 1, 1994
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
March 9, 1992 - March 30, 1993
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 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.RR
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
IAR
Arizona(8/16/2016)
RR
Arizona(8/1/2018)
RR
California(8/1/2018)
RR
Colorado(8/1/2018)
RR
Florida(5/21/2024)
RR
Georgia(11/20/2020)
RR
Illinois(8/1/2018)
RR
Iowa(7/11/2019)
RR
Michigan(8/2/2018)
RR
North Carolina(8/1/2018)
IAR
Texas(12/1/2023)
RR
Washington(5/20/2024)
RR
Wisconsin(8/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902Scottsdale, AZ 85254TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
