Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl Alois Kniely is a financial advisor with over 38 years of experience in the industry. Karl is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Karl has previously been registered with several other firms, including JOSEPHTHAL & CO., INCORPORATED, THOMSON MCKINNON SECURITIES INC., RICHARDSON GREENSHIELDS SECURITIES INC., H. BURCKHARDT & COMPANY, INC. and SWINK & COMPANY, INC.. Karl has passed the Series 3, 4, 5, 7, 15, 63 and 65 exams. Karl is registered to offer securities in 22 states. Karl has a long history of working in the Cleveland, Ohio area. Karl is a specialist in areas such as portfolio management for individuals and businesses, pension consulting, education seminars, and selection of other advisers. Karl is also registered with the state of Texas as an Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
09/11/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WESTLAKE OH)
NA
03/04/1988 - 09/16/1988
JOSEPHTHAL & CO., INCORPORATED
NA
11/20/1984 - 03/09/1988
THOMSON MCKINNON SECURITIES INC.
NA
01/30/1984 - 12/12/1984
RICHARDSON GREENSHIELDS SECURITIES INC.
NA
09/27/1983 - 01/26/1984
H. BURCKHARDT & COMPANY, INC.
NA
04/19/1983 - 12/14/1983
SWINK & COMPANY, INC.
NA
09/27/1983 - 11/29/1983
H. BURCKHARDT & COMPANY, INC.
IA
Issued 05/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/1983
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1984
Series 3 - National Commodity Futures Examination
BC
Issued 05/22/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 05/22/1984
Series 5 - Interest Rate Options Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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