Kevin J. Karales

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CRD#: 6402001

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.

Kevin Joseph Karales, CIMA®, who also goes by Kevin Joseph Karales, Kevin Karales, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2014. Kevin had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Joseph Karales | Kevin Karales

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

April 23, 2025 - August 18, 2025

EAGLEBROOK ADVISORS

RIA

CRD#: 304438

Boston, MA

Past

April 26, 2024 - February 11, 2025

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

Boston, MA

Past

March 29, 2023 - June 22, 2023

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

February 18, 2020 - November 4, 2022

STARWOOD CAPITAL, L.L.C.

CRD#: 146057

GREENWICH, CT

Past

November 18, 2015 - January 31, 2020

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

November 10, 2015 - January 31, 2020

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

February 24, 2015 - November 3, 2015

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

BOSTON, MA

Past

November 6, 2014 - November 3, 2015

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

BOSTON, MA

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".

EAGLEBROOK ADVISORS

EAGLEBROOK ADVISORS | KING CAPITAL PARTNERS | EAGLEBROOK ADVISORS, INC.

CRD#: 304438 / SEC#: 801-122813

RIA

Registered Investment Advisory firm - (12/7/2021 Approved)

California

Registered Investment Advisory firm - (1/14/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/16/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

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

IAR

Series 66

Date: 2/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/2014

General Securities Representative Examination

Current Firm

EAGLEBROOK ADVISORS

EAGLEBROOK ADVISORS | KING CAPITAL PARTNERS | EAGLEBROOK ADVISORS, INC.

CRD#: 304438 / SEC#: 801-122813

RIA

Registered Investment Advisory firm - (12/7/2021 Approved)

California

Registered Investment Advisory firm - (1/14/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/16/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (12/23/2021 Terminated)

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Contact information

Main Address

205 Hudson Street 7th Floor, New York, NY 10013

Mailing Address

Phone number

(786) 807-7374

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 FORM CRS (10/29/2025)

MARCH 2025 FORM ADV PART 2 (10/29/2025)

Regulatory assets under management

Total Number of Accounts	991
AUM (Assets Under Management)	$ 350,185,986

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report

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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Firm Stability Insights

Kevin J. Karales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

ALPS DISTRIBUTORS, INC.

STARWOOD CAPITAL, L.L.C.

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

EAGLEBROOK ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/6/2014

Current Firm

EAGLEBROOK ADVISORS

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLEBROOK ADVISORS

TRUST BUT VERIFY

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