Karl Andrew Mundt

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2005 → 08/2018
  Ameriprise Financial Services, Inc.
  Cary, NC
• 08/2018 → 09/2025
  Commonwealth Financial Network
  Waltham, MA
• 09/2025 → Present
  Raymond James Financial Services, Inc.
  Raleigh, NC
• 09/2025 → Present
  Raymond James Financial Services Advisors, Inc.
  Raleigh, NC

Previous Registrations

• 2018-08-24 → 2025-09-30
  Commonwealth Financial Network
  Raleigh, NC
  Waltham, MA
• 2004-11-02 → 2018-08-27
  Ameriprise Financial Services, Llc
  Raleigh, NC
  Raleigh, NC
  Raleigh, NC
  Raleigh, NC
  Cary, NC

Other Businesses

(1)Name of Business: Trail Ridge Financial, LLC Address: 2235 Gateway Access Pt Ste 260, Raleigh, NC, 27607-3076, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Associate/Employee, Officer - President Investment Related: No Start Date: 08/01/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: President. Responsible for all aspects of daily management of financial planning practice.

Exams

• S66 Uniform Combined State Law Examination
  2004-11-01