AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
Carol Ann Wikle

Carol A. Wikle

MIRADOR CAPITAL PARTNERS
Pleasanton, CA 94566
Some features on this profile are disabled
CRD#: 3140823
Carol Ann Wikle

Professional summary

Carol Ann Wikle, CFP®, CIMA®, who also goes by Carol Ann Garman, Carol A Wikle, Carol Ann Zepeda, is a registered financial advisor currently at MIRADOR CAPITAL PARTNERS located in Pleasanton, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carol has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carol Ann Garman | Carol A Wikle | Carol Ann Zepeda

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.
RESORT EQUITIES FRACTIONAL REALS ESTATE BUSINESS SAN FRANCISCO, CA CONVERTIBLE PROMISSORY NOTE HOLDER 0 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Wikle'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®
CFP®

Certified Financial Planner

Start date: 2007

CIMA®

Certified Investment Management Analyst

Experience

Current

January 27, 2015 - Present

MIRADOR CAPITAL PARTNERS

Office #1: 6700 Koll Parkway Suite 230, Pleasanton, CA 94566
RIA
CRD#: 173764
Pleasanton, CA
Past

July 10, 2013 - March 1, 2016

SANCTUARY SECURITIES LLC

BD
CRD#: 144091
PLEASANTON, CA
Past

July 9, 2013 - February 9, 2015

CROSSPOINT CAPITAL MANAGEMENT

RIA
CRD#: 150212
PLEASANTON, CA
Past

June 1, 2009 - July 24, 2013

MORGAN STANLEY

RIA
CRD#: 149777
PLEASANTON, CA
Past

June 1, 2009 - July 24, 2013

MORGAN STANLEY

BD
CRD#: 149777
PLEASANTON, CA
Past

December 7, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PLEASANTON, CA
Past

December 7, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PLEASANTON, CA
Past

June 15, 1999 - December 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PLEASANTON, CA
Past

January 1, 1999 - December 12, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PLEASANTON, CA

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".
MC
MIRADOR CAPITAL PARTNERS
MIRADOR CAPITAL PARTNERS | MIRADOR CAPITAL PARTNERS, LP

CRD#: 173764 / SEC#: 801-80585

RIA
Registered Investment Advisory firm - (11/21/2014 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.

Highlighted states indicate IAR registrations

IAR
California
(1/27/2015)
IAR
Texas
(1/27/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/5/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/5/2011
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/1998
General Securities Representative Examination

Current Firm

MC
MIRADOR CAPITAL PARTNERS
MIRADOR CAPITAL PARTNERS | MIRADOR CAPITAL PARTNERS, LP

CRD#: 173764 / SEC#: 801-80585

RIA
Registered Investment Advisory firm - (11/21/2014 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
6700 Koll Center Parkway Suite 230, Pleasanton, CA 94566
Mailing Address
Phone number
(925) 621-1000
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts2,572
AUM (Assets Under Management)$ 901,733,303

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.

Company Information

MIRADOR CAPITAL PARTNERS

CRD#: 173764Pleasanton, CA 94566

TRUST BUT VERIFY

Monitor Carol Wikle

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Israel
John IsraelAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
SAN RAMON, CA
Jason Michael Cooke
Jason CookeAdvisorCheck Check Mark
EDELMAN FINANCIAL ENGINES
IAR
DANVILLE, CA
Ronald William Guay
Ronald GuayAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
San Jose, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.