Scott Karl (CRD# 2868011) is an Investment Advisor Representative working at Caitlin John in Fresno, CA and has over 26 years of experience in the finance industry.
CRD# 4407978
Commonwealth Financial Network
CRD# 4834967
Diversified Wealth Management Solutions, LLC
CRD# 5351296
Ameriprise Financial Services, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Caitlin John, LLC | Brighton, MI | Dec 2022 - Current | 1 |
| Scott Karl Economic And Insurance Services | Fresno, CA | Jan 1997 - Current | 27 |
| Guardian Pointe Private Wealth Management | Brighton, MI | Jul 2017 - Dec 2022 | 5 |
| Interactive Financial Advisors | Oakbrook, IL | Nov 2016 - Jun 2017 | < 1 |
| Brooklight Place Securities, Inc. | Fresno, CA | May 2014 - Nov 2016 | 2 |
| Park Avenue Securities LLC | Fresno, CA | May 1999 - May 2014 | 15 |
| Guardian Investor Services Corporation | Fresno, CA | May 1994 - May 2014 | 20 |
| Guardian Life Insurance Company Of America | Fresno, CA | May 1994 - May 2014 | 20 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1997 |
| S65 | NASAA Investment Advisors Law Examination | Mar 2017 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
- TX
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Total Assets Under Management143MILLIONS
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Total Number of Accounts948ACCOUNTS
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Average Account Value$151,199
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
CA, CO, CT, FL, IL, IN, MD, MI, NJ, NY, PA, TX, VA
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