John G. Karl
Professional summary
John Gavin Karl is a registered financial advisor currently at WCM INVESTMENT MANAGEMENT located in Laguna Beach, California and IMST DISTRIBUTORS, LLC located in Laguna Beach, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 6, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Gavin Karl's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2011 - Present
WCM INVESTMENT MANAGEMENT
Office #1: 281 Brooks Street, Laguna Beach, CA 92651-2974January 2, 2013 - Present
IMST DISTRIBUTORS, LLC
Office #1: 281 Brooks Street, Laguna Beach, CA 92651October 17, 2011 - December 31, 2012
GRAND DISTRIBUTION SERVICES, LLC
September 25, 2009 - June 2, 2010
AVONDALE CONQUEST, LLC
February 13, 2003 - March 3, 2003
CAI INSTITUTIONAL SERVICES, LLC
May 28, 1996 - December 16, 1999
STRONG INVESTMENTS, INC.
December 8, 1989 - February 6, 1992
IDS LIFE INSURANCE COMPANY
December 8, 1989 - February 6, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
November 26, 1988 - March 23, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 1987 - October 27, 1988
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 2, 1986 - June 2, 1987
E. F. HUTTON & COMPANY INC
March 7, 1986 - July 21, 1986
COMMERCE BROKERAGE SERVICES, INC.
October 17, 1985 - February 7, 1986
A. G. EDWARDS & SONS, INC.
January 23, 1985 - October 28, 1985
EDWARD JONES
Primary Firm SEC Registration
WCM INVESTMENT MANAGEMENT
CRD#: 104702 / SEC#: 801-11916
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(5/6/2011)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2015)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/20/2022)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
(1/2/2013)
Exams
FINRA
Current Firm
WCM INVESTMENT MANAGEMENT
CRD#: 104702 / SEC#: 801-11916
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,438 |
| AUM (Assets Under Management) | $ 74,688,235,740 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 | ||
| 01/16/2025 | ||
| 06/20/2023 | ||
| 10/25/2022 |
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.
