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Karl Richard Spurzem

Mountain Capital Investment Advisors Inc

Corte Madera, CA

Westminster, CO

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Current Employers
Mountain Capital Investment Advisors Inc

12235 Pecos St Suite 100, Westminster, CO 80234 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-09-27
CO RA APPROVED 2017-07-05
  • CA RA
    APPROVED
    Since 2017-09-27
  • CO RA
    APPROVED
    Since 2017-07-05

Branch Locations

Corte Madera, CA • United States

12235 Pecos St Suite 100, Westminster, CO 80234 • 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
OrganizationCityStateFromTo
Guggenheim Securities, Llc San Francisco CA 06/2012 07/2017
Mountain Capital Investment Advisors, Inc. Westminster CO 07/2017 Present
Previous Registrations
  • 2010-06-21 → 2012-06-14
    Potomac Research Group
    Larkspur, CA
    Washington, DC
  • 2005-06-24 → 2006-01-24
    Stanford Group Company
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-03-25
  • S63 Uniform Securities Agent State Law Examination
    1991-03-25
Designations

View on SEC IAPD

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