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Gregg Karal

Cambridge Investment Research Advisors, INC.
32 Years of Experience
Plantsville, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Gregg Karal is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Plantsville, CT, with 32 years of industry experience. Gregg is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1143 Meriden Waterbury Turnpike, Plantsville, CT, 06479

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2006
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregg is an independent insurance agent since 1995 and also owns a sole proprietorship selling fixed and medical insurance since 1992, dedicating about 10% of his time to this. He is also an advisory representative of a RIA, a tax preparer, and a tax preparer for AARP.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
November 2006 - Present · 19 yrs 11 mos
Cambridge Investment Research, INC.Broker
November 2006 - Present · 19 yrs 11 mos
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
January 2006 - October 2006 · 9 mos
National Planning CorporationBroker
November 2005 - October 2006 · 11 mos
Advest, INC.
February 2002 - December 2005 · 3 yrs 10 mos
Advest, INC.Broker
June 2001 - December 2005 · 4 yrs 6 mos
National Planning CorporationBroker
November 1999 - April 2001 · 1 yr 5 mos
American General Securities IncorporatedBroker
October 1997 - November 1999 · 2 yrs 1 mo
Uslife Equity Sales CORP.Broker
May 1995 - October 1997 · 2 yrs 5 mos
Berkshire Equity Sales, INC.Broker
October 1993 - April 1995 · 1 yr 6 mos
State Registrations8 states
COCTFLGAILMANHNY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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