Karen S. Terrell
Professional summary
Karen Sue Terrell, who also goes by Karen Sue Roedel, Karen S Terrell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Breckenridge, Colorado and CETERA ADVISORS LLC located in Breckenridge, Colorado.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Karen has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karen Sue Terrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
October 3, 2016 - Present
CETERA ADVISORS LLC
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
October 21, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
October 21, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
March 15, 2007 - October 22, 2014
VOYA FINANCIAL ADVISORS, INC.
March 3, 2007 - October 22, 2014
VOYA FINANCIAL ADVISORS, INC.
October 1, 2002 - March 5, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
December 31, 2001 - March 5, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
October 30, 1992 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
(5/1/2018)
(10/3/2016)
(10/3/2016)
(3/21/2024)
(1/11/2017)
(1/11/2017)
(5/7/2025)
(8/21/2024)
(5/15/2019)
(5/22/2025)
(1/23/2018)
(8/19/2021)
(10/3/2016)
(4/23/2021)
(9/14/2018)
(10/3/2016)
Exams
FINRA
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.
