Carl M. Wiese

GROW FUNDS LLC

La Jolla, CA 92037

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CRD#: 2247701

Professional summary

Carl Matthew Wiese is a registered financial advisor currently at GROW FUNDS LLC located in La Jolla, California.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Carl has worked at 3 firms and has passed the Series 63 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. University of San Diego; non-investment related; 5998 Alcala Park, San Diego, CA 92110; Adjunct Professor - teaching Ethics and Financial Markets and Institutions in the Master of Finance Program and Financial Management and Introduction to Hedge Funds at the undergraduate level; Start Date: 09/2015; 15-20 hours per month; none during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Matthew Wiese'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®

None

Experience

Current

October 24, 2018 - Present

GROW FUNDS LLC

Office #1: 4275 Executive Square Suite 335, La Jolla, CA 92037

RIA

CRD#: 269960

La Jolla, CA

Past

August 22, 1996 - September 10, 1996

JACK WHITE & COMPANY, INC.

CRD#: 7645

Past

July 13, 1992 - December 18, 1993

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR

California
(10/24/2018)

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

Series 63

Date: 8/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/21/1996

General Securities Representative Examination

Current Firm

GROW FUNDS LLC

CRD#: 269960 / SEC#: 802-106672

California

Registered Investment Advisory firm - (10/24/2018 Approved)

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Contact information

Main Address

4275 Executive Square Suite 335, La Jolla, CA 92037

Mailing Address

Phone number

(619) 717-8009

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 68,027,578

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	3/15/2019
California	ERA - Withdrawn	9/10/2018

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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Carl M. Wiese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Matthew Wiese's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROW FUNDS LLC

JACK WHITE & COMPANY, INC.

WILLIAM O'NEIL SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/1996

Series 7

Date: 8/21/1996

Current Firm

GROW FUNDS LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

GROW FUNDS LLC

TRUST BUT VERIFY

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