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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl Christian Mergenthaler is a financial advisor at Morgan Stanley in Westport, CT. Karl has been in the financial industry since May 17, 2012. Karl specializes in portfolio management for individuals, investment companies, and businesses, as well as financial planning and pension consulting. Karl has Series 7 and Series 66 licenses and holds licenses in 43 states, as well as the District of Columbia. In addition to his work with Morgan Stanley, Karl is an adjunct professor at Fairfield University and is a contractor for CFA Institute.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
04/02/2020 - Present
Morgan Stanley (Westport CT)
NY
09/26/2006 - 01/18/2007
OVERTURE SECURITIES LLC (NEW YORK NY)
ME
04/14/2004 - 10/04/2004
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
NY
08/27/1998 - 11/15/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 06/22/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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