Karl A. Schroeder
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Karl Adolph Schroeder, who also goes by Karl A Schroeder, Karl Schroeder, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1988. Karl had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2023 - September 6, 2023
SCHROEDER FINANCIAL SERVICES, INC.
January 16, 2008 - December 31, 2022
SCHROEDER FINANCIAL SERVICES, INC.
January 1, 2004 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
March 12, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
July 9, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 31, 1999 - July 9, 1999
MUTUAL SERVICE CORPORATION
November 7, 1995 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
July 27, 1995 - November 7, 1995
NATIONAL PLANNING CORPORATION
March 28, 1988 - July 15, 1988
TOLUCA PACIFIC SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCHROEDER FINANCIAL SERVICES, INC.
CRD#: 145751 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 1,466,000 |
Red Flags
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