Karl R. Kuelthau

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CRD#: 4309939

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.

Karl Robert Kuelthau was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 2000. Karl had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 51 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

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®

None

Experience

Past

March 25, 2015 - August 17, 2020

GOOGINS ADVISORS, INC

RIA

CRD#: 13985

MIDDLETON, WI

Past

March 25, 2015 - August 17, 2020

GOOGINS ADVISORS, INC

CRD#: 13985

MIDDLETON, WI

Past

September 4, 2009 - March 23, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

CHICAGO, IL

Past

March 28, 2005 - March 23, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CHICAGO, IL

Past

March 8, 2001 - March 22, 2005

DN PARTNERS L.L.C.

CRD#: 39915

CHICAGO, IL

Past

December 1, 2000 - January 31, 2001

VCAPITAL SECURITIES LLC

CRD#: 104018

CHICAGO, IL

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".

GOOGINS ADVISORS, INC

CRD#: 13985 / SEC#: 801-68432, 8-30116

RIA

Registered Investment Advisory firm - SEC (11/6/2007 Approved)

Texas

Registered Investment Advisory firm - SEC (11/20/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/20/2007 Terminated)

Terminated by SEC on 08/25/2022

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 7/8/2015

Municipal Fund Securities Principal Examination

Current Firm

GOOGINS ADVISORS, INC

CRD#: 13985 / SEC#: 801-68432, 8-30116

RIA

Registered Investment Advisory firm - SEC (11/6/2007 Approved)

Texas

Registered Investment Advisory firm - SEC (11/20/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/20/2007 Terminated)

Terminated by SEC on 08/25/2022

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Contact information

Main Address

6417 University Avenue, Middleton, WI 53562

Mailing Address

Phone number

(608) 514-1044

Established

Wisconsin since 07/01/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (15 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB GOOGINS ADVISORS, INC. (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
GOOGINS, LOUISE PAULSON	PRESIDENT, TREASURER, CCO, FINANCIAL OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER	857700

Regulatory assets under management

Total Number of Accounts	1,687
AUM (Assets Under Management)	$ 501,043,111

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Karl R. Kuelthau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GOOGINS ADVISORS, INC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

DN PARTNERS L.L.C.

VCAPITAL SECURITIES LLC

Primary Firm SEC Registration

GOOGINS ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2000

Series 24

Date: 12/15/2015

Series 51

Date: 7/8/2015

Current Firm

GOOGINS ADVISORS, INC

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOOGINS ADVISORS, INC

TRUST BUT VERIFY

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