Karen S. Corcoran

CORCORAN WEALTH MANAGEMENT LLC

Temecula, CA

Some features on this profile are disabled

CRD#: 5759515

Professional summary

Karen Sue Corcoran, who also goes by Karen Sue Thomas, is a registered financial advisor currently at CORCORAN WEALTH MANAGEMENT LLC located in Temecula, California.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Karen has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Sue Thomas

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.

Karen S. Corcoran, Sole Proprietor; Insurance Agent; start 12/2010; Temecula, CA; 80 hours per month; 40 during securities trading; Insurance sales and service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Sue Corcoran'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®

None

Experience

Current

August 2, 2013 - Present

CORCORAN WEALTH MANAGEMENT LLC

RIA

CRD#: 162162

Temecula, CA

Past

September 28, 2016 - June 25, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Temecula, CA

Past

July 6, 2010 - July 25, 2013

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

TEMECULA, CA

Past

March 26, 2010 - July 25, 2013

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

TEMECULA, CA

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

Arizona
(6/18/2025)

IAR

California
(8/2/2013)

IAR

Texas
(4/7/2015)

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

IAR

Series 65

Date: 6/12/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/25/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CORCORAN WEALTH MANAGEMENT LLC

CORCORAN WEALTH MANAGEMENT | CORCORAN WEALTH MANAGEMENT LLC

CRD#: 162162 / SEC#: 801-75420

RIA

Registered Investment Advisory firm - (6/11/2012 Terminated)

Arizona

Registered Investment Advisory firm - (6/18/2025 Approved)

California

Registered Investment Advisory firm - (8/2/2013 Approved)

Texas

Registered Investment Advisory firm - (4/7/2015 Conditional Restricted)

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).

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

Temecula, CA

Mailing Address

Phone number

(951) 302-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 2,656,533

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karen S. Corcoran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Sue Corcoran's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORCORAN WEALTH MANAGEMENT LLC

SECURE INVESTMENT MANAGEMENT, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/2010

Series 63

Date: 5/17/2010

Series 6

Date: 3/25/2010

Current Firm

CORCORAN WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CORCORAN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors