Karl Arthur Schwartz
CFP®Professional Summary
Karl Arthur Schwartz, CFP® is a registered financial advisor currently at TEAM HEWINS, LLC located in Boca Raton, Florida. Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Karl has worked at 4 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Investment Management
- Education Funding
- Estate & Legacy Planning
- Risk Management & Insurance
- Cashflow & Budgeting
- Retirement Planning
- Tax Planning
- Financial Planning
- Business Services
Specializations
Biography
I discovered a passion for financial planning at an early age. As far back as high school, I was working the numbers to see what would be needed to build a retirement nest egg. I graduated from the University of Wisconsin, La Crosse, with a B.S. in Accounting, and since then, I've thrived on easing financial stress for my clients. We will take one step at a time, prioritize your issues, and take care of...
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC
Contact Information
Main Address
950 Tower Lane Suite 1050, Foster City, CA 94404Phone Number
(650) 620-3040# of Employees
29SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,260AUM (Assets Under Management)
$3,966,070,638Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC
State Registrations and Notice Filings
(5/29/2018)
(6/4/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Karl Arthur Schwartz's CRS (Customer Relationship Summary).
Services Offered by Karl
- Investment Management
- Education Funding
- Estate & Legacy Planning
- Risk Management & Insurance
- Cashflow & Budgeting
- Retirement Planning
- Tax Planning
- Financial Planning
- Business Services
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