Karl V. Kimball

Some features on this profile are disabled

CRD#: 1655573

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 Vilhelm Kimball, who also goes by Karl V Kimball, was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1988. Karl had worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karl V Kimball

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.

NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE NAME OF OTHER BUSINESS: STRATEGIC WEALTH PARTNERS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LLC; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: OPERATING ENTITY BEHIND THE SCENES FOR BANKING PURPOSES; NAME OF OTHER BUSINESS: COVENANT PRESBYTERIAN CHURCH INVESTMENT RELATED: NO ADDRESS: 4000 ROUTE 202 NORTH, DOYLESTOWN, PA 18902 NATURE OF BUSINESS: FAITH BASED START DATE: 11/2016 POSITION/TITLE/RELATIONSHIP: ELDER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: ELDER NAME OF OTHER BUSINESS: NEW HAMPTON SCHOOL INVESTMENT RELATED: NO ADDRESS: 70 E. MAIN STREET, NEW HAMPTON SCHOOL NATURE OF BUSINESS: EDUCATION START DATE: 11/2016 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: TRUSTEE

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

June 29, 2023 - January 11, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DOYLESTOWN, PA

Past

July 21, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DOYLESTOWN, PA

Past

January 17, 2017 - January 11, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DOYLESTOWN, PA

Past

March 20, 2014 - August 5, 2025

CWM, LLC

RIA

CRD#: 155344

DOYLESTOWN, PA

Past

December 14, 2012 - March 21, 2014

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

DOYLESTOWN, PA

Past

October 19, 2011 - November 2, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

DOYLESTOWN, PA

Past

October 24, 2005 - January 19, 2017

LPL FINANCIAL LLC

CRD#: 6413

DOYLESTOWN, PA

Past

February 26, 2003 - November 1, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 26, 2003 - November 1, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 9, 2002 - March 12, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

FORT WASHINGTON, PA

Past

April 17, 2002 - March 12, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

August 15, 1990 - May 27, 1992

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

March 15, 1989 - August 14, 1990

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

Past

July 5, 1988 - January 2, 1989

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

IAR

Series 66

Date: 7/10/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2007

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karl V. Kimball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CWM, LLC

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

MML INVESTORS SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2002

Series 63

Date: 6/9/1988

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2002

Series 6

Date: 6/30/1988

Series 24

Date: 11/14/2007

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors