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Karen Denise

Senior Director at Capfinancial Partners

Investment adviser and broker registrationsRaleigh, NCSEC record checked 17 October 2026

24
Years in the industry
11
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Karen Denise is Senior Director of Capfinancial Partners, LLC, a Raleigh investment adviser managing $1.24T. Karen Denise has been registered through Capfinancial Partners since 15 April 2015, has 24 years in the industry across 4 firms and has passed the Series 7, Series 66, SIE and Series 99TO.

Role at Capfinancial Partners

Title on Schedule A
Senior Director
Control
Karen Denise is not a control person of Capfinancial Partners.
Ownership
An individual ownership band is not available in the source record.
Tenure
Karen Denise has held the filed role since May 2025.

The firm

Capfinancial Partners, LLC
Raleigh, NC

Form ADV filed 30 September 2026

$1.24T AUM41,750 clients885 advisers26 offices

Career on record

Karen Denise has been registered through Capfinancial Partners since April 2015, and before that through Wachovia Securities, LLC and Wachovia Securities, Inc..

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. CaptrustCurrent
    – present · 12 years
    Raleigh, NC · Adviser representative · Firm CRD 175112
  4. Captrust Financial Advisors Or "captrust"
    – · 11 years
    Raleigh, NC · Adviser representative · Firm CRD 126291
  5. Wachovia Securities, LLC
    – · under a year
    Raleigh, NC · Adviser representative · Firm CRD 19616
  6. Wachovia Securities, Inc.
    – · under a year
    Durham, NC · Adviser representative · Firm CRD 431
  7. Passed Series 7 and Series 66 · 2001

Registrations and exams

Karen Denise has a current investment-adviser registration in North Carolina and has passed 4 qualifying exams.

North Carolina15 April 2015
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6622 December 2001
Name
Uniform Combined State Law Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 September 2001
Name
General Securities Representative Examination

Individual record

Full name
Karen Olivia Denise
CRD
4391986
Firm
Capfinancial Partners, LLC
Registration status
Investment adviser and broker registrations
Office
4208 SIX FORKS RD, SUITE 1700, Raleigh, NC 27609
Firm bio
captrust.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

CAPTRUST says Karen Denise leads its wealth client services team, covering client service and operations for wealth clients. Official firm biography/team page

Education

Common questions

Where does Karen Denise work?

Karen Denise has been Senior Director of Capfinancial Partners, LLC since May 2025.

Source: Form ADV, Schedule A, filed 30 September 2026

Is Karen Denise a financial advisor?

Yes. Karen Denise has a current investment-adviser registration in North Carolina, through Capfinancial Partners since April 2015, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Karen Denise have?

Karen Denise has worked in the financial industry for 24 years as of 17 October 2026, counted from 20 January 2002, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Karen Denise passed?

Karen Denise has passed 4 licensing exams: the Series 7, Series 66, SIE and Series 99TO. The earliest, the Series 7, was passed in September 2001.

Source: IAPD individual record, checked 17 October 2026

Where did Karen Denise work before Capfinancial Partners?

Before Capfinancial Partners, Karen Denise was registered through Wachovia Securities, LLC, December 2003 to February 2004; Wachovia Securities, Inc., March 2002 to June 2002.

Source: IAPD individual record, checked 17 October 2026

Where is Karen Denise based?

Karen Denise’s registered office is in Raleigh, NC.

Source: IAPD individual record, checked 17 October 2026

Leadership at Capfinancial Partners

Sources

  1. IAPD individual record, CRD 4391986. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Capfinancial Partners, LLC, filed 30 September 2026. Title, control and ownership bands.
  3. Capfinancial Partners team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Karen Denise or Capfinancial Partners, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.