Scott Karl has been an investment adviser representative at Caitlin John since December 2022, and is not listed among the firm’s executive officers or direct owners.
Caitlin John, LLC is a Brighton, MI firm with $215M under management, 602 clients and 25 advisers across 14 offices, as of its September 2026 filing.
Scott Karl’s longest registration was 5 years at Guardian Pointe Private Wealth Management, LLC (2017–2022). Before joining Caitlin John in 2022, Scott Karl was registered through Guardian Pointe Private Wealth Management, LLC and Interactive Financial Advisors.
- Simplyria Advisor NetworkCurrent– present · 3 yearsFresno, CA · Adviser representative · Firm CRD 154494
- Guardian Pointe Private Wealth Management, LLC– · 5 yearsFresno, CA · Adviser representative · Firm CRD 284460
- Interactive Financial Advisors– · under a yearOakbrook, IL · Adviser representative · Firm CRD 125117
Investment adviser representative registrations
Scott Karl is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in December 2022.
- CaliforniaSince 20 December 2022
- TexasResidentSince 21 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 24 March 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 June 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 June 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Scott Jay Karl
- CRD
- 2868011
- Firm
- Caitlin John · CRD 154494
- Office
- Fresno, CA
- Registration
- Investment adviser registration
- In the industry since
- August 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Scott Karl work?
Scott Karl is an investment adviser representative registered through Caitlin John, LLC since December 2022, and is not listed among the firm’s executive officers or direct owners.
Is Scott Karl a financial advisor?
Yes. Scott Karl has a current investment-adviser registration in California and Texas, through Caitlin John since December 2022.
How many years of experience does Scott Karl have?
Scott Karl has 29 years in the financial industry, since August 1997, across 3 adviser firms.
What exams has Scott Karl passed?
Scott Karl has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in June 1997. FINRA credited Scott Karl with the SIE, which began in October 2018.
Where did Scott Karl work before Caitlin John?
Before Caitlin John, Scott Karl was registered through Guardian Pointe Private Wealth Management, LLC, August 2017 to December 2022; Interactive Financial Advisors, March 2017 to June 2017.
Where is Scott Karl based?
Scott Karl’s registered office is in Fresno, CA.
Is Scott Karl registered with FINRA?
No. Scott Karl has no current broker registration.
How can I verify Scott Karl’s record?
Search CRD 2868011 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Karl’s full registration record.