About Us
Client Profile
Our client base is diverse with younger families to high net-worth couples in their retirement years, along with businesses seeking investment returns on their cash positions. Other client types include trusts, and non-profit organizations.
Karl Schempp, Senior Investment Advisor, CIM
Karl has been a licensed Investment Advisor since January 2001, and practices his profession with Industrial Alliance Securities Inc. providing a wide range of financial services to his clients. He has been accredited by the Canadian Securities Institute as a Chartered Investment Manager (CIM). He was born and educated in Ontario, and currently resides in Oakville.
Karl has invested his personal capital in the equity markets since 1986, solely and actively traded stocks as a day trader for over a year and a half, and over the decades has garnered much experience and knowledge on how stocks and equity markets generally behave. His trading experience has provided him an insight into the various forces that act on stock prices, and an appreciation of technical factors that influence future stock price movements. In investing in corporate securities, he has learned the need to interpret fundamental financial information on those corporations, the need to understand the corporations' potential success and/or financial growth, and how this relates to the current market's valuation of those corporations.
His education includes holding a Computer Systems Technology Diploma with honours and completing the following courses from the Canadian Securities Institute:
- Canadian Securities Course (with honours), [requirement] & Conduct and Practices Course, [requirement]
- Derivatives and Fundamentals Course
- Options Licensing Course
- Professional Financial Planning Course
- Investment Management Techniques Course
- Portfolio Management Techniques Course
Karl is licensed:
- As a Registered Representative with Options License (Investment Advisor) by the Investment Industry Regulatory Organization of Canada (IIROC).
- To practice in Ontario.
Karl also holds the designation of Chartered Investment Manager (CIM). For more information about the benefits of dealing with a Chartered Investment Manager (CIM), please click here.