Karl Steven Webber | Financial Professional

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 Steven Webber was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1985. Karl had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2008 - April 6, 2020

COOPER MCMANUS

RIA

CRD#: 111458

IRVINE, CA

Past

November 3, 2003 - March 27, 2020

SECURITIES AMERICA, INC.

BD

CRD#: 10205

IRVINE, CA

Past

June 29, 2001 - November 13, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

ST. LOUIS, MO

Past

October 4, 1993 - July 2, 2001

ROTH CAPITAL PARTNERS, LLC

BD

CRD#: 15407

NEWPORT BEACH, CA

Past

September 16, 1992 - September 22, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD

CRD#: 7613

NEW YORK, NY

Past

October 5, 1988 - October 1, 1992

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

Past

February 19, 1986 - October 24, 1988

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

Past

December 6, 1985 - February 10, 1986

REPUBLIC SECURITIES, INC.

BD

CRD#: 15043

Past

October 2, 1985 - January 6, 1986

MESA SECURITIES CORPORATION

BD

CRD#: 15206

Past

June 6, 1985 - October 4, 1985

INTERFIRST CAPITAL CORPORATION

BD

CRD#: 7659

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".

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 12/20/2007

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 11/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 11/20/1985

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 5/18/1985

General Securities Representative Examination

Current Firm

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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).

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Contact information

Main Address

9870 Research Drive, Irvine, CA 92618

Mailing Address

Phone number

(800) 516-5333

Established

Firm type

Fiscal year end

# of Employees

52

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COOPER MCMANUS ADV PART 2A (5/20/2025)

COOPER MCMANUS ADV PART 2A APPENDIX 1 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 2,560,714,584

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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Advisor Monitoring

Firm Stability Insights

Karl S. Webber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

WELLS FARGO CLEARING SERVICES, LLC

ROTH CAPITAL PARTNERS, LLC

KIDDER, PEABODY & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

REPUBLIC SECURITIES, INC.

MESA SECURITIES CORPORATION

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

COOPER MCMANUS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2007

Series 63

Date: 11/6/1985

SIE

Date: 10/1/2018

Series 3

Date: 11/20/1985

Series 7

Date: 5/18/1985

Current Firm

COOPER MCMANUS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOPER MCMANUS

TRUST BUT VERIFY

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