CARL J. KUNHARDT
Some features on this profile are disabled
CRD#: 2553325
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.
CARL J KUNHARDT, CFP®, CIMA®, who also goes by Carl Joseph Kunhardt, Carlos J Kunhardt, Carlos Joseph Kunhardt, was a registered financial professional .
CARL is a previously registered financial professional and started their career in finance in 1995. CARL had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Biography
Carl’s discipline and thoroughness, acquired as an officer and naval aviator in the US Marines, help him deliver strategic solutions that focus on building, managing, and preserving his clients’ wealth. Carl began his wealth management career in 1994 as a Personal Financial Planner with American Express Financial Advisors. Carl then joined Quest Capital Management in Dallas, Texas in 1997 where he became a Senior Partner and Senior Wealth Advisor. He works with professionals to develop investment strategies to help build and maintain wealth, provide income distribution solutions, and optimize estate planning. Carl is married and has two grown daughters who live in Dallas. He is a scuba Divemaster and an avid sailor and enjoys golf, underwater photography and playing his guitar(s).
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Estate Planning
Retirement Income Management
Tax Planning
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
No
Aliases
Carl Joseph Kunhardt | Carlos J Kunhardt | Carlos Joseph Kunhardt
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) SUCCEEDHR ADDRESS: DALLAS, TX NATURE OF THE BUSINESS: BUSINESS CONSULTING POSITION/TITLE: PARTNER INVESTMENT RELATED:NO START DATE: 11/01/2006 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 0 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0 DESCRIPTION OF DUTIES: Provide Business and Financial Planning Consulting to spouses' HR Consulting practice 2) NON-VARIABLE INSURANCE - DALLAS, TX. 06/2005 TO PRESENT. NOT INVESTMENT RELATED. AGENT. NON-VARIABLE INSURANCE SALES. 1 HOUR PER WEEK, 1 HOUR DURING TRADING. 3)Name of Business : Imagine Scuba, LLC. Address: Rockwall, TX Nature of the Business: Scuba diving instruction and certification Position/Title: Owner / Chief Instructor of Imagine Scuba LLC, a Scuba Diving Instructional Academy. Investment Related:No Start Date: 05/01/2020 Hours per month devoted to this business: 24 Hours per month devoted to this business during trading hours: 0 Description of duties: Company principal and chief instructor 4)Name of outside business: HMLA Reunion Steering Committee ; Is the business investment related: No; Location of the business: 1841 Isle Royale Drive, Rockwall, TX 75087; Description of the business: Limited purpose to coordinate reunion for former military unit. ; Position Title: Treasurer of the Reunion Steering Committee; Responsibilities Duties: Act as the treasurer for the planning committee for the reunion to take place in December 2022. Start date with business: 2022-01-13; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 8; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1998
Experience
Past
November 8, 2021 - September 29, 2023
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
Dallas, TX
Past
April 28, 1998 - March 22, 2022
QUEST CAPITAL MANAGEMENT, INC.
RIA
CRD#: 114690
DALLAS, TX
Past
February 20, 1997 - April 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DALLAS, TX
Past
April 2, 1996 - December 10, 1996
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
May 22, 1995 - March 22, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 17, 1995 - March 22, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 25, 1995 - March 24, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 25, 1995 - March 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 25, 1995 - September 6, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
MG
MERCER GLOBAL ADVISORS INC.
MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
RIA
Registered Investment Advisory firm - (5/30/2008 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
MG
MERCER GLOBAL ADVISORS INC.
MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
RIA
Registered Investment Advisory firm - (5/30/2008 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1200 17th Street Suite 2000, Denver, CO 80202
Mailing Address
Phone number
(888) 885-8101
Established
Firm type
Fiscal year end
# of Employees
1,166
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
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.
