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Karl Richard Spurzem

Investment Adviser Representative at MOUNTAIN CAPITAL INVESTMENT ADVISORS INC

Corte Madera, CACRD #1174726Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
2 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaColorado
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 3/25/1991
Series 24
General Securities Principal Examination
Passed 6/8/2007
Series 7
General Securities Representative Examination
Passed 3/12/1991

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

MOUNTAIN CAPITAL INVESTMENT ADVISORS INC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SCHWAB CAPITAL MARKETS L.P.
9/1/2000 – 2/17/2004STAMFORD, CT
PACIFIC GROWTH EQUITIES, INC.
8/9/1996 – 11/24/1997SAN FRANCISCO, CA
DEAN WITTER REYNOLDS INC.
8/24/1983 – 6/13/1985
GUGGENHEIM SECURITIES, LLC
6/4/2012 – 4/7/2014SAN FRANCISCO, CA
STANFORD GROUP COMPANY
6/13/2005 – 3/31/2009SAN FRANCISCO, CA
SMH CAPITAL INC.
4/3/2009 – 10/2/2009CORTE MADERA, CA
MORGAN STANLEY & CO., INCORPORATED
3/15/1991 – 3/16/1995NEW YORK, NY
CHARLES SCHWAB & CO., INC.
2/3/1999 – 9/7/2000WESTLAKE, TX
W.R. HAMBRECHT + CO., LLC
2/24/2004 – 8/3/2004SAN FRANCISCO, CA
IRC SECURITIES LLC
2/16/2012 – 5/22/2012NEW YORK, NY
CAPFI PARTNERS, LLC
10/22/2010 – 12/1/2011NEW YORK, NY

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Karl Richard Spurzem has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.