Karen S. Becker-gemmill
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Karen Sue Becker-gemmill, CFP®, who also goes by Karen Sue Becker, Karen Sue Fiedler, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1996. Karen had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - December 31, 2024
CETERA WEALTH SERVICES, LLC
August 5, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
July 1, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
March 10, 2011 - June 10, 2016
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 16, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 16, 2004 - March 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 26, 2001 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
August 4, 1998 - January 12, 2001
IDS LIFE INSURANCE COMPANY
August 4, 1998 - January 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 1996 - May 13, 1998
U.S. BANCORP INVESTMENTS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
