Karen F. Oeser

MEANS WEALTH MANAGEMENT

Greenville, SC 29601

Some features on this profile are disabled

CRD#: 2381917

Professional summary

Karen Faye Oeser, who also goes by Karen Faye Baloy, Karen Sweigart, is a registered financial advisor currently at MEANS WEALTH MANAGEMENT located in Greenville, South Carolina.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Karen has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Faye Baloy | Karen Sweigart

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.

I own Elevarte Capital, LLC dba East Light Investments which invests in multi-family real estate. My primary role is to keep investors updated on their properties. I received asset management fees when we acquired our current properties. I am not currently seeking to acquire additional properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Faye Oeser'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

August 2, 2024 - Present

MEANS WEALTH MANAGEMENT

Office #1: 325 Augusta Street, Greenville, SC 29601

RIA

CRD#: 2748

Greenville, SC

Past

August 31, 2018 - November 12, 2019

HART CAPITAL MANAGEMENT, INC.

RIA

CRD#: 112108

SPOKANE, WA

Past

May 1, 2009 - December 31, 2017

HART CAPITAL MANAGEMENT, INC.

RIA

CRD#: 112108

SPOKANE, WA

Past

August 29, 1994 - April 29, 1998

WELLINGTON SALES CORP.

CRD#: 7144

BOSTON, MA

Past

December 22, 1993 - June 7, 1994

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

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".

MEANS WEALTH MANAGEMENT

MEANS INVESTMENT CO., INC. | MEANS WEALTH MANAGEMENT | MEANS INVESTMENT COMPANY

CRD#: 2748 / SEC#: 801-80992, 8-27458

RIA

Registered Investment Advisory firm - SEC (2/19/2015 Approved)

Maine

Registered Investment Advisory firm - SEC (2/24/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/26/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (7/20/2005 Terminated)

Terminated by SEC on 03/31/2019

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.

Highlighted states indicate IAR registrations

IAR

South Carolina
(8/2/2024)

IAR

Texas
(8/2/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 3/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/1993

General Securities Representative Examination

Current Firm

MEANS WEALTH MANAGEMENT

MEANS INVESTMENT CO., INC. | MEANS WEALTH MANAGEMENT | MEANS INVESTMENT COMPANY

CRD#: 2748 / SEC#: 801-80992, 8-27458

RIA

Registered Investment Advisory firm - SEC (2/19/2015 Approved)

Maine

Registered Investment Advisory firm - SEC (2/24/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/26/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (7/20/2005 Terminated)

Terminated by SEC on 03/31/2019

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

802 Stillwater Ave., Bangor, ME 04401-3614

Mailing Address

Phone number

+1 (207) 947-6763

Established

Maine since 10/01/1981

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MEANS WEALTH MANAGEMENT 2A & 2B BROCHURE (11/12/2025)

Direct owners and executive officers

Name	Position	CRD#
MEANS, ZACHARY PAUL	CEO	5002275
MEANS, PAUL BANWELL	PRESIDENT	330815
DUDLEY, JOHN RUSSELL	SENIOR VICE PRESIDENT	4410559
WOODBURY, ERIC GEORGE	CCO	4931203

Regulatory assets under management

Total Number of Accounts	3,302
AUM (Assets Under Management)	$ 1,306,705,211

Disclosures

Regulatory Event

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.

Similar Advisors

Daniel Milks

FIDUCIARY ORGANIZATION, LLC

IAR

Greenville, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karen F. Oeser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Faye Oeser's CRS (Customer Relationship Summary).

Certified licenses

Experience

HART CAPITAL MANAGEMENT, INC.

HART CAPITAL MANAGEMENT, INC.

WELLINGTON SALES CORP.

S.G. WARBURG & CO. INC.

Primary Firm SEC Registration

MEANS WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/1994

Series 7

Date: 12/21/1993

Current Firm

MEANS WEALTH MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MEANS WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors