Karl R. Spurzem

MOUNTAIN CAPITAL INVESTMENT ADVISORS

Corte Madera, CA

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CRD#: 1174726

Professional summary

Karl Richard Spurzem is a registered financial advisor currently at MOUNTAIN CAPITAL INVESTMENT ADVISORS INC located in Corte Madera, California.

Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Karl has worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Richard Spurzem's CRS (Customer Relationship Summary).

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

July 5, 2017 - Present

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

RIA

CRD#: 156660

Corte Madera, CA

Past

June 4, 2012 - April 7, 2014

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

SAN FRANCISCO, CA

Past

February 16, 2012 - May 22, 2012

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

October 22, 2010 - December 1, 2011

CAPFI PARTNERS LLC

CRD#: 113795

NEW YORK, NY

Past

June 21, 2010 - June 14, 2012

POTOMAC RESEARCH GROUP

RIA

CRD#: 151983

LARKSPUR, CA

Past

April 3, 2009 - October 2, 2009

SANDERS MORRIS LLC

CRD#: 20580

CORTE MADERA, CA

Past

June 24, 2005 - January 24, 2006

STANFORD GROUP COMPANY

RIA

CRD#: 39285

SAN FRANCISCO, CA

Past

June 13, 2005 - March 31, 2009

STANFORD GROUP COMPANY

CRD#: 39285

SAN FRANCISCO, CA

Past

February 24, 2004 - August 3, 2004

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

September 1, 2000 - February 17, 2004

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

February 3, 1999 - September 7, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 9, 1996 - November 24, 1997

PACIFIC GROWTH EQUITIES, LLC

CRD#: 24835

SAN FRANCISCO, CA

Past

March 15, 1991 - March 16, 1995

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 24, 1983 - June 13, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC | MOUNTAIN CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 156660 / SEC#: 801-110107

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Colorado

Registered Investment Advisory firm - (4/14/2017 Terminated)

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).

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

California
(9/27/2017)

IAR

Colorado
(7/5/2017)

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

Series 63

Date: 3/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/12/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2007

General Securities Principal Examination

Current Firm

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC | MOUNTAIN CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 156660 / SEC#: 801-110107

RIA

Registered Investment Advisory firm - (3/22/2017 Approved)

Colorado

Registered Investment Advisory firm - (4/14/2017 Terminated)

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Contact information

Main Address

12235 Pecos St Suite 100, Westminster, CO 80234

Mailing Address

Phone number

(720) 500-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/28/2025)

Regulatory assets under management

Total Number of Accounts	3,239
AUM (Assets Under Management)	$ 744,700,000

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.

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Firm Stability Insights

Karl R. Spurzem

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Richard Spurzem's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

IRC SECURITIES LLC

CAPFI PARTNERS LLC

POTOMAC RESEARCH GROUP

SANDERS MORRIS LLC

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

W.R. HAMBRECHT + CO., LLC

UBS CAPITAL MARKETS L.P.

CHARLES SCHWAB & CO., INC.

PACIFIC GROWTH EQUITIES, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/1991

Series 7

Date: 3/12/1991

Series 24

Date: 6/8/2007

Current Firm

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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