Karl P. Tweardy

STRATEGIC ADVISERS LLC

RICHMOND, VA

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CRD#: 2527644

Professional summary

Karl Patrick Tweardy, who also goes by Karl P Tweardy, Karl Patrick Tweardy, Karl Tweardy, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Richmond, Virginia and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Karl has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karl P Tweardy | Karl Patrick Tweardy | Karl Tweardy

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 Patrick Tweardy'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

RICHMOND, VA

Current

January 31, 2024 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917

CRD#: 7784

Smithfield, RI

Past

February 14, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

RICHMOND, VA

Past

June 15, 2023 - December 15, 2023

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

Fredericksburg, VA

Past

June 13, 2023 - December 15, 2023

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

Fredericksburg, VA

Past

May 16, 2022 - June 15, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Richmond, VA

Past

May 16, 2022 - June 15, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Richmond, VA

Past

December 1, 2020 - May 17, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

RICHMOND, VA

Past

November 5, 2020 - May 17, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

RICHMOND, VA

Past

October 28, 2016 - October 30, 2020

THE VERTICAL GROUP

CRD#: 104353

RICHMOND, VA

Past

January 2, 2013 - October 14, 2016

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

July 27, 1999 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 18, 1999 - June 9, 1999

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

Past

November 1, 1995 - May 19, 1999

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 31, 1994 - October 24, 1995

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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

Alabama
(2/8/2024)

Alaska
(2/20/2024)

Arizona
(2/13/2024)

Arkansas
(2/7/2024)

California
(2/6/2024)

Colorado
(2/8/2024)

Connecticut
(2/8/2024)

Delaware
(2/15/2024)

District of Columbia
(2/7/2024)

Florida
(2/7/2024)

Georgia
(2/12/2024)

Hawaii
(7/9/2024)

Idaho
(2/7/2024)

Illinois
(2/23/2024)

Indiana
(2/13/2024)

Iowa
(2/8/2024)

Kansas
(2/7/2024)

Kentucky
(2/7/2024)

Louisiana
(2/7/2024)

Maine
(2/7/2024)

Maryland
(2/8/2024)

Massachusetts
(2/23/2024)

Michigan
(2/8/2024)

Minnesota
(2/7/2024)

Mississippi
(2/7/2024)

Missouri
(2/7/2024)

Montana
(2/8/2024)

Nebraska
(2/7/2024)

Nevada
(2/12/2024)

New Hampshire
(2/27/2024)

New Jersey
(2/7/2024)

New Mexico
(2/8/2024)

New York
(2/7/2024)

North Carolina
(2/9/2024)

North Dakota
(2/13/2024)

Ohio
(2/7/2024)

Oklahoma
(2/15/2024)

Oregon
(2/7/2024)

Pennsylvania
(2/12/2024)

Puerto Rico
(2/26/2024)

Rhode Island
(2/7/2024)

South Carolina
(2/15/2024)

South Dakota
(2/8/2024)

Tennessee
(2/7/2024)

Texas
(2/2/2024)

IAR

Texas
(3/31/2025)

Utah
(2/8/2024)

Vermont
(2/8/2024)

Virgin Islands
(2/9/2024)

Virginia
(2/1/2024)

IAR

Virginia
(3/31/2025)

Washington
(2/6/2024)

West Virginia
(2/12/2024)

Wisconsin
(2/7/2024)

Wyoming
(2/21/2024)

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 66

Date: 11/30/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/16/1994

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: 8/29/1994

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Karl P. Tweardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Patrick Tweardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES, INC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

THE VERTICAL GROUP

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

JOSEPHTHAL & CO., INC.

TRUIST SECURITIES, INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2020

Series 63

Date: 9/16/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/29/1994

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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