Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl James Partch is an active broker and investment advisor representative. He is registered with Hilltop Securities Inc., based in Sherman Oaks, CA and has been in the industry since March 14, 1995. Prior to joining Hilltop Securities Inc., Karl James Partch was employed by CANTOR FITZGERALD & CO., WUNDERLICH SECURITIES, INC., BANC OF MANHATTAN CAPITAL, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and COUNTRYWIDE SECURITIES CORPORATION. Karl James Partch holds Series 7, Series 63, and Series 79TO licenses, and has a proven track record of providing financial advice to individuals, corporations, and charitable organizations. Karl James Partch is committed to providing clients with personalized financial planning and investment management services.
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.
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.
12b-1 fees
1
2
CA
10/23/2019 - Present
Hilltop Securities Inc. (Sherman Oaks CA)
CA
11/11/2014 - 10/24/2019
CANTOR FITZGERALD & CO. (SANTA MONICA CA)
CA
02/20/2014 - 11/03/2014
WUNDERLICH SECURITIES, INC. (WOODLAND HILLS CA)
CA
07/30/2012 - 03/19/2014
BANC OF MANHATTAN CAPITAL (WOODLAND HILLS CA)
CA
11/01/2010 - 07/02/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CALABASAS CA)
CA
07/01/2008 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (CALABASAS CA)
CA
02/09/1995 - 10/29/2008
COUNTRYWIDE SECURITIES CORPORATION (CALABASAS CA)
BC
Issued 03/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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