Melanie S. Karlberg
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.
Melanie Stearns Karlberg, CFP®, who also goes by Melanie Stearns Karlberg, Melanie Marie Stearns, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 1998. Melanie had worked at 10 firms and has passed the Series 63, Series 66, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
December 15, 2017 - June 2, 2026
LMCG INVESTMENTS, LLC
March 30, 2017 - October 18, 2024
FORESIDE FUND SERVICES, LLC
July 29, 2015 - September 30, 2016
RACE ROCK CAPITAL LLC
March 3, 2011 - August 24, 2015
F-SQUARED INVESTMENTS, INC
February 23, 2011 - December 1, 2011
TRUST ADVISORY GROUP LTD
February 22, 2011 - December 1, 2011
AGES FINANCIAL SERVICES, LTD.
June 29, 2010 - February 28, 2011
FINANCIAL TELESIS INC
June 23, 2010 - February 28, 2011
FINANCIAL TELESIS INC
March 13, 2001 - August 15, 2008
FIDELITY BROKERAGE SERVICES LLC
February 25, 2000 - February 26, 2001
OFFROAD SECURITIES, INC.
January 12, 2000 - August 15, 2008
STRATEGIC ADVISERS LLC
November 11, 1998 - February 22, 2000
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
LMCG INVESTMENTS, LLC
CRD#: 149936 / SEC#: 801-70357
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LMCG INVESTMENTS, LLC
CRD#: 149936 / SEC#: 801-70357
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,160 |
| AUM (Assets Under Management) | $ 6,545,996,799 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/10/2025 | ||
| 12/11/2024 | ||
| 01/24/2024 | ||
| 12/28/2022 |
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.
