Karl J. Meyer
Professional summary
Karl John Meyer, who also goes by Karl John Meyer, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota and CETERA WEALTH SERVICES, LLC located in St Cloud, Minnesota.
Karl is registered as a RR (Registered Representative) and started their career in finance in 2014. Karl has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karl John Meyer's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 27, 2006 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301September 24, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301September 24, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301September 24, 2013 - Present
CETERA ADVISORS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301March 24, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
March 24, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
October 29, 2014 - November 10, 2014
REALTY CAPITAL SECURITIES, LLC
October 29, 2014 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
October 29, 2014 - November 9, 2016
INVESTORS CAPITAL CORP.
October 29, 2014 - December 14, 2016
LEGEND EQUITIES CORPORATION
October 29, 2014 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 29, 2014 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2007)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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Company Information
CETERA ADVISORS LLC
CRD#: 10299St Cloud, MN 56301TRUST BUT VERIFY
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