Karl Spurzem has been an investment adviser representative at Mountain Capital Investment Advisors since July 2017, and is not listed among the firm’s executive officers or direct owners. Karl Spurzem holds an MBA from Northwestern University's Kellogg School of Management. Karl Spurzem studied University of California at Berkeley.
Mountain Capital Investment Advisors Inc is a Westminster, CO firm with $929M under management, 1,191 clients and 15 advisers across 5 offices, as of its July 2026 filing.
Karl Spurzem is Financial Advisor of Mountain Capital Investment Advisors. He develops and monitors the firm's investment strategy with its committee and performs financial planning services for clients. Before joining the firm, he spent over 20 years in institutional equity research, including 15 years with the Washington Research Group.
Karl Spurzem’s longest registration is the current one, 9 years at Mountain Capital Investment Advisors since 2017. Before joining Mountain Capital Investment Advisors in 2017, Karl Spurzem was registered through Potomac Research Group and Stanford Group Company.
- – present · 9 yearsCorte Madera, CA · Adviser representative · Firm CRD 156660
- Potomac Research Group– · 1 yearLarkspur, CA · Adviser representative · Firm CRD 151983
- Stanford Group Company– · under a yearSan Francisco, CA · Adviser representative · Firm CRD 39285
Investment adviser representative registrations
Karl Spurzem is registered as an investment adviser representative in 2 states. The first approvals date from July 2017; the most recent is California, in September 2017.
- CaliforniaSince 27 September 2017
- ColoradoSince 5 July 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 8 June 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 March 1991 |
| Series 7 | General Securities Representative Examination | 12 March 1991 |
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Karl Richard Spurzem
- CRD
- 1174726
- Firm
- Mountain Capital Investment Advisors · CRD 156660
- Office
- Corte Madera, CA
- Registration
- Investment adviser registration
- In the industry since
- December 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- mountaincapital.us
Where does Karl Spurzem work?
Karl Spurzem is an investment adviser representative registered through Mountain Capital Investment Advisors Inc since July 2017, and is not listed among the firm’s executive officers or direct owners.
Is Karl Spurzem a financial advisor?
Yes. Karl Spurzem has a current investment-adviser registration in California and Colorado, through Mountain Capital Investment Advisors since July 2017.
How many years of experience does Karl Spurzem have?
Karl Spurzem has 11 years in the financial industry, since December 2014, across 3 adviser firms.
What exams has Karl Spurzem passed?
Karl Spurzem has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in March 1991.
Where did Karl Spurzem work before Mountain Capital Investment Advisors?
Before Mountain Capital Investment Advisors, Karl Spurzem was registered through Potomac Research Group, June 2010 to June 2012; Stanford Group Company, June 2005 to January 2006.
Where is Karl Spurzem based?
Karl Spurzem’s registered office is in Corte Madera, CA.
Is Karl Spurzem registered with FINRA?
No. Karl Spurzem has no current broker registration.
How can I verify Karl Spurzem’s record?
Search CRD 1174726 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Karl Spurzem’s full registration record.
