Alexis Ruth Karn

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

Current Employers

Cwm, Llc

14600 Branch St., Omaha, NE 68154 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2022-05-09
TX	RA	APPROVED	2022-05-09

CT RA
APPROVED

Since 2022-05-09
TX RA
APPROVED

Since 2022-05-09

Branch Locations

14600 Branch St., Omaha, NE 68154 • United States

10 Melrose Dr., Farmington, CT 06032 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance	Farmington	CT	07/2018	Present
Karn, Couzens & Associates, Inc.	Farmington	CT	06/2013	Present
Cwm. Llc	Omaha	NE	05/2022	Present

07/2018 → Present

Royal Alliance

Farmington, CT
06/2013 → Present

Karn, Couzens & Associates, Inc.

Farmington, CT
05/2022 → Present

Cwm. Llc

Omaha, NE

Previous Registrations

2022-02-03 → 2022-05-12

Karn, Couzens & Associates, Inc.

Farmington, CT

Other Businesses

1. FIXED INSURANCE NATURE: Insurance START: 3/8/17 APPX. HRS/MONTH: 2 % APPX HRS/MONTH DURING TRADING HOURS: 2 POSITION: INSURANCE AGENT DUTIES: Sells Life, Health, Disability, Annuities & LTC 2. NAME OF OTHER BUSINESS: Instagram NATURE OF BUSINESS: Social Media START: 7/22/2022 POSITION: Content Creation APPX. HRS/MONTH: 10 % APPX HRS/MONTH DURING TRADING HOURS: 0% DUTIES: Content Creation

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-23

S65 Uniform Investment Adviser Law Examination

2021-11-23

Other Names

Alexis R Karn

View on SEC IAPD