Karl H. Power
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 Henry Power, who also goes by Karl Power, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1990. Karl had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2012 - August 3, 2012
3 FACTOR INDEXING, LLC
November 1, 2000 - February 28, 2001
ROBERTSON STEPHENS, INC.
November 5, 1996 - January 4, 1997
ROBERTSON, STEPHENS & COMPANY LLC
June 13, 1994 - March 31, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1990 - April 28, 1994
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
3 FACTOR INDEXING, LLC
CRD#: 160356 / SEC#: 801-110926
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
3 FACTOR INDEXING, LLC
CRD#: 160356 / SEC#: 801-110926
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 200 |
| AUM (Assets Under Management) | $ 169,584,549 |
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.
