KW
Karl J. Warner
FLAGSHIP PRIVATE WEALTH
Woburn, MA 01801
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CRD#: 2199825
KW
Professional summary
Karl Jay Warner, CFP® is a registered financial advisor currently at FLAGSHIP PRIVATE WEALTH located in Woburn, Massachusetts and LPL FINANCIAL LLC located in Fernandina Beach, Florida.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Karl has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1) 5/31/2017: Flagship Private Wealth, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2014 - 12 Hours Per Month/10 Hours During Securities Trading.
2) 6/1/2017 - Flagship Private Wealth, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 06/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading.
3) 1/9/2018 - Flagship Private Wealth, LLC - DBA: Flagship Private Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 4/1/2015 - 100 Hours Per Month/5 Hours During Trading - I provide investment advisory services through Flagship Private Wealth, LLC, an independent investment advisor firm. I started this business activity in January 2018. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Karl Jay Warner's 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®
Experience
Current
April 21, 2015 - Present
FLAGSHIP PRIVATE WEALTH
Office #1: 400 Trade Center - Suite 4990, Woburn, MA 01801RIA
CRD#: 175277
Woburn, MA
Current
August 27, 2010 - Present
LPL FINANCIAL LLC
Office #2: 400 Trade Center Ste 4990, Woburn, MA 01801RIA
BD
CRD#: 6413
FERNANDINA BEACH, FL
Past
August 27, 2010 - June 16, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOBURN, MA
Past
January 6, 1992 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 6, 1992 - September 1, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHARLESTOWN, MA
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".
FP
FLAGSHIP PRIVATE WEALTH
FLAGSHIP PRIVATE WEALTH | FLAGSHIP PRIVATE WEALTH, LLC
CRD#: 175277 / SEC#: 801-108301
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)Florida
Registered Investment Advisory firm - (12/3/2016 Terminated)New Hampshire
Registered Investment Advisory firm - (12/9/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/4/2016 Terminated)Texas
Registered Investment Advisory firm - (12/3/2016 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(8/30/2023)
RR
Colorado(8/27/2010)
RR
Florida(8/27/2010)
RR
Massachusetts(8/27/2010)
IAR
Massachusetts(4/21/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FLAGSHIP PRIVATE WEALTH
FLAGSHIP PRIVATE WEALTH | FLAGSHIP PRIVATE WEALTH, LLC
CRD#: 175277 / SEC#: 801-108301
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)Florida
Registered Investment Advisory firm - (12/3/2016 Terminated)New Hampshire
Registered Investment Advisory firm - (12/9/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/4/2016 Terminated)Texas
Registered Investment Advisory firm - (12/3/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Trade Center - Suite 4990, Woburn, MA 01801
Mailing Address
Phone number
(781) 756-0090
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,033 |
| AUM (Assets Under Management) | $ 383,312,357 |
Red Flags
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Company Information
FLAGSHIP PRIVATE WEALTH
CRD#: 175277Woburn, MA 01801TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
