Karen L. Boschert
Professional summary
Karen L Boschert, who also goes by Karen L Beard, is a registered financial advisor currently at EXENCIAL WEALTH ADVISORS located in Huntersville, North Carolina.
Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Karen has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karen L Boschert's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2020 - Present
EXENCIAL WEALTH ADVISORS
Office #1: 13801 Reese Boulevard Suite 155, Huntersville, NC 28078May 7, 2018 - July 10, 2020
WILLINGDON WEALTH MANAGEMENT LLC
October 21, 2016 - January 31, 2018
TD AMERITRADE, INC.
October 21, 2016 - January 31, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 21, 2016 - January 31, 2018
TD AMERITRADE, INC.
May 2, 2013 - August 18, 2016
STRATEGIC ADVISERS LLC
December 9, 2009 - June 13, 2011
STRATEGIC ADVISERS LLC
December 21, 2007 - August 18, 2016
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/14/2023)
(12/26/2023)
(7/31/2023)
(3/23/2023)
(3/15/2023)
(7/26/2024)
(6/9/2020)
(3/16/2023)
(6/9/2020)
(12/26/2023)
(2/21/2025)
(3/16/2023)
(3/20/2023)
Exams
Current Firm
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,357 |
| AUM (Assets Under Management) | $ 5,301,377,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/27/2024 | ||
| 11/20/2023 |
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.
