CV
Carl Vandermerwe
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CRD#: 2561896
CV
Professional summary
Carl Vandermerwe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carl is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Carl had worked at 2 firms, which includes CONTINENTAL INVESTORS SERVICES INC., R.W. SMITH & ASSOCIATES LLC.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Past
May 3, 2002 - September 12, 2005
CONTINENTAL INVESTORS SERVICES, INC.
BD
CRD#: 29775
LONGVIEW, WA
Past
October 26, 1995 - April 8, 2002
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, NJ
Past
March 2, 1995 - April 24, 1995
R.W. SMITH & ASSOCIATES, LLC
BD
CRD#: 16605
JERSEY CITY, 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".
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
General Industry/Product Exam
RR
Series 62
Date: 2/19/2003
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CONTINENTAL INVESTORS SERVICES, INC.
CIS-WEALTH MANAGEMENT-A DIVISION OF CIS | CONTINENTAL INVESTORS SERVICES, INC.
CRD#: 29775 / SEC#: 801-122737, 8-44523
RIA
Registered Investment Advisory firm - SEC (11/22/2021 Approved)Alaska
Registered Investment Advisory firm - SEC (3/24/2023 Terminated)Arizona
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)California
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (4/20/2023 Terminated)New York
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (12/7/2023 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/3/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Utah
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)Washington
Registered Investment Advisory firm - SEC (4/24/2023 Terminated)Wyoming
Registered Investment Advisory firm - SEC (3/21/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1330 Broadway Street, Longview, WA 98632
Mailing Address
P.o. Box 888, Longview, WA 98632-7552
Phone number
(360) 423-5110
Established
Washington since 12/16/1991
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
14
SEC notice filing (18 States and Territories)
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 196,792,432 |
Disclosures
| Regulatory Event | 3 |
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.
