Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl Desmond Spruill is an investment advisor representative who has been in the industry since 2000. Karl is currently registered with Fidelity Personal AND Workplace Advisors, a firm based in Boston, Massachusetts. Prior to joining Fidelity, Karl has worked with several other firms including SECU Brokerage Services, LPL Financial LLC, Waddell & Reed, Inc., and TIAA-CREF Individual & Institutional Services, LLC. Karl holds several licenses including Series 63, Series 65, Series 66, Series 7, Series 9, Series 10, and Series 24.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NC
08/23/2024 - Present
Fidelity Personal AND Workplace Advisors (DURHAM NC)
NC
09/19/2013 - 05/19/2022
SECU BROKERAGE SERVICES (RALEIGH NC)
NC
11/30/2011 - 08/03/2012
LPL FINANCIAL LLC (RALEIGH NC)
NC
02/22/2011 - 06/30/2011
WADDELL & REED, INC. (RALEIGH NC)
NC
01/13/2000 - 05/01/2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DURHAM NC)
MA
01/20/1999 - 02/01/2000
FULCRUM FINANCIAL ADVISORS, INC. (BOSTON MA)
NY
03/05/1996 - 12/10/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/24/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/03/2011
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/11/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/20/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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