Karl A. Hanna

SAFE HARBOR FIDUCIARY | Financial Advisor

Pensacola, FL 32502

Some features on this profile are disabled

CRD#: 6810233

Professional summary

Karl Albert Hanna is a registered financial advisor currently at SAFE HARBOR FIDUCIARY, LLC located in Pensacola, Florida.

Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Karl has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Karl Hanna, Sole Proprietor; Yes; Pensacola, FL; Insurance services; Insurance Agent; 09/2020; 1/MO; 0/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Albert Hanna's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 21, 2024 - Present

SAFE HARBOR FIDUCIARY, LLC

Office #1: 700 South Palafox Street Suite 300, Pensacola, FL 32502

RIA

CRD#: 169659

Pensacola, FL

Past

December 18, 2020 - December 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MILTON, FL

Past

August 8, 2018 - December 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MILTON, FL

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".

SAFE HARBOR FIDUCIARY, LLC

CRD#: 169659 / SEC#: 801-121650

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

Alabama

Registered Investment Advisory firm - (7/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/6/2021 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(2/21/2024)

IAR

Florida
(3/12/2024)

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 65

Date: 2/28/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2019

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: 8/8/2018

General Securities Representative Examination

Current Firm

SAFE HARBOR FIDUCIARY, LLC

CRD#: 169659 / SEC#: 801-121650

RIA

Registered Investment Advisory firm - (6/29/2021 Approved)

Alabama

Registered Investment Advisory firm - (7/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/6/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

700 South Palafox Street Suite 300, Pensacola, FL 32502

Mailing Address

Phone number

(850) 435-4844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SEC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	530
AUM (Assets Under Management)	$ 131,977,387

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Gerilyn Denny

MORGAN STANLEY

IAR

Seattle, WA

Christopher Carreon

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Flavia Cardozo

J.P. MORGAN SECURITIES LLC

IAR

Naperville, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Karl A. Hanna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Albert Hanna's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SAFE HARBOR FIDUCIARY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2020

Series 63

Date: 12/20/2019

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2018

Current Firm

SAFE HARBOR FIDUCIARY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAFE HARBOR FIDUCIARY, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors