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Karl Leal

Karl Leal

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CRD#: 5747704
Karl Leal

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 Leal, CFP® was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 2013. Karl had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Biography

AAMS® designees distinguishes themselves by identifying opportunities not only in investment planning, but also by making comprehensive recommendations to meet a broad range of your financial goals—from saving for your children’s college education to reducing taxes to building a nest egg for your retirement. With all of the complex financial planning information available today, an AAMS® designee can give you knowledgeable advice on the best assets and strategies for your total financial needs.   Learn about your options by turning to a professional in retirement planning—a Chartered Retirement Planning CounselorSM or CRPC® designee. CRPC® designees can provide you with an understanding of complex pre- and postretirement issues. From helping you maximize sources of retirement income to guiding you through investments, a CRPC® designee will effectively identify and analyze what you should do today to ensure a secure tomorrow.
top-8-questions

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Retirement Planning
Do you have an area of expertise or specialization?
Cash Flow/Budgets/Credit Issue...
Hourly
Investment Advice without Ongo...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Are you a "fiduciary"?
No

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.
1)LEAL FINANCIAL PLANNING; CAMPBELL, CA; OWNER; START DATE 3/1/2010; INVESTMENT-RELATED; 40 HOURS/MONTH; 0 HOURS DURING TRADING HOURS; CLIENT RELATIONS, ANALYSIS, INVESTMENT RECOMMENDATIONS, FINANCIAL PLANNING, MARKETING.

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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Past

September 14, 2018 - August 23, 2025

LEAL FINANCIAL PLANNING

RIA
CRD#: 152708
CAMPBELL, CA
Past

December 8, 2016 - December 13, 2016

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SAN JOSE, CA
Past

December 13, 2013 - December 8, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
SAN JOSE, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/17/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/9/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/13/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2013
General Securities Representative Examination

Current Firm

LEAL FINANCIAL PLANNING
LEAL FINANCIAL PLANNING
KARL LEAL | LEAL, KARL | LEAL FINANCIAL PLANNING

CRD#: 152708 / SEC#:

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Contact information

Main Address
900 East Hamilton Avenue Suite 100, Campbell, CA 95008
Mailing Address
Phone number
(408) 679-3354
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

LEAL FINANCIAL PLANNING

LEAL FINANCIAL PLANNING

CRD#: 152708

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