Karl W. Schwinck

ASHTON THOMAS PRIVATE WEALTH | Private Wealth Financial Advisor

COLORADO SPRINGS, CO 80920

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CRD#: 2332352

Professional summary

Karl William Schwinck is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Colorado Springs, Colorado and M. S. HOWELLS & CO. located in Denver, Colorado.

Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Karl has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Financial planning

Trust & estate planning

Loans/credit services

Philanthropic services

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl William Schwinck's CRS (Customer Relationship Summary).

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

February 16, 2023 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 1975 Research Parkway Suite 135, Colorado Springs, CO 80920Office #2: 2955 East 1st Avenue Suite 300, Denver, CO 80206

RIA

CRD#: 153902

COLORADO SPRINGS, CO

Current

February 21, 2023 - Present

M. S. HOWELLS & CO.

Office #1: 2955 E. 1st Avenue Suite 300, Denver, CO 80111Office #2: 1975 Research Parkway Suite 135, Colorado Springs, CO 80920

CRD#: 104100

Denver, CO

Past

January 3, 2011 - February 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLORADO SPRINGS, CO

Past

January 3, 2011 - February 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLORADO SPRINGS, CO

Past

April 6, 2001 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

COLORADO SPRINGS, CO

Past

December 14, 2000 - August 13, 2002

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

December 13, 2000 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

COLORADO SPRINGS, CO

Past

September 20, 1999 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

May 14, 1999 - August 31, 1999

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

September 5, 1997 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

May 25, 1993 - September 19, 1997

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 7, 1993 - May 17, 1993

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 7, 1993 - May 17, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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.

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

Arizona
(2/21/2023)

California
(2/21/2023)

IAR

Colorado
(2/16/2023)

Colorado
(2/21/2023)

Florida
(2/21/2023)

Idaho
(2/21/2023)

IAR

Louisiana
(9/22/2025)

IAR

Nebraska
(12/12/2025)

New Mexico
(2/21/2023)

North Carolina
(2/21/2023)

South Carolina
(2/21/2023)

Virginia
(2/21/2023)

Washington
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

PREMIUM

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Karl W. Schwinck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl William Schwinck's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS PRIVATE WEALTH

M. S. HOWELLS & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

CHARLES SCHWAB & CO., INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/1997

Series 63

Date: 4/6/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/30/1993

Series 6

Date: 4/6/1993

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

Contact information

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