Karen Walsh
Karen Walsh is a registered investment advisor at The Strategic Financial Alliance, based in Wilmington, NC, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 1,394 clients with $470M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SFA offers investment management through several programs:
- Strategic Choice Program: Fees are based on a percentage of your portfolio. You can choose an all-inclusive option where the fee covers both advisory services and transaction costs, or a non-inclusive option where you pay transaction fees separately. The exact fee is negotiated with your advisor.
- C-Share Mutual Fund Management Program: A 1% annual fee is deducted from your mutual fund account.
- Co-Advisory Programs: SFA works with third-party managers like Orion Portfolio Solutions and BAM Advisory Services. Fees vary by program and are detailed in their respective brochures. SFA also charges an additional advisory fee, but the total fees will not exceed 2.0%.
- Manager Selection Programs: SFA assists in selecting third-party managers. Fees are detailed in the manager's brochures.
- Third-Party Asset Managers: SFA recommends third-party asset managers. Fees generally range from 0.10% to 2.50% annually, depending on the program, account size, and services covered.
SFA may receive a portion of the fees charged by third-party managers.
Location
398 Carl Street, Unit 101, Wilmington, NC, 28403
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Karen is involved with Haines Financial, LLC, dedicating nearly full-time hours to client service and administrative duties. She is also a member of 398 CARL, LLC, a real estate owner, spending minimal time on this investment-related activity.
Employment History
Current Registrations
The Strategic Financial Alliance, INC.Broker
Strategic Blueprint, LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Advisory Services, LLC
Triad Advisors LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Commonwealth Financial NetworkBroker
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Ryan Beck & CO.
Ryan Beck & CO.Broker
Hennion & Walsh, INC.Broker
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.