Karla P. Lema

STEADTRUST

Sheridan, WY 82801

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CRD#: 2478052

Professional summary

Karla Patricia Lema, who also goes by Karla P Lema, is a registered financial advisor currently at STEADTRUST located in Sheridan, Wyoming.

Karla is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Karla has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karla P Lema

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) DBA for RDL Wealth Management, Investment-related; P.O. Box 915 Sheridan, WY 82801;DBA for financial securities business conducted through B. Riley Wealth Management; start date 2015. 40 hours/ week devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karla Patricia Lema's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 5, 2025 - Present

STEADTRUST

Office #1: 114 Decker, Sheridan, WY 82801

RIA

CRD#: 334416

Sheridan, WY

Past

September 13, 2020 - May 29, 2025

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK, NY

Past

May 11, 2015 - September 17, 2020

UNITED ADVISORS SERVICES, LLC

RIA

CRD#: 150080

NEW YORK, NY

Past

September 9, 2005 - May 19, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

May 12, 2003 - September 29, 2005

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEW YORK, NY

Past

March 9, 2002 - September 29, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 28, 1999 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

July 24, 1997 - June 21, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 21, 1995 - July 28, 1997

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEADTRUST

CRD#: 334416 / SEC#: 801-131951

RIA

Registered Investment Advisory firm - (2/10/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(5/5/2025)

IAR

Texas
(5/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1995

General Securities Representative Examination

Current Firm

STEADTRUST

CRD#: 334416 / SEC#: 801-131951

RIA

Registered Investment Advisory firm - (2/10/2025 Approved)

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Contact information

Main Address

Allen, TX

Mailing Address

Po Box 669, Allen, TX 75013

Phone number

(972) 876-8422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - STEADTRUST (6/2/2025)

WRAP FEE BROCHURE- STEADTRUST (6/2/2025)

Regulatory assets under management

Total Number of Accounts	1,018
AUM (Assets Under Management)	$ 438,883,769

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.

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Karla P. Lema

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karla Patricia Lema's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH ADVISORS, INC.

UNITED ADVISORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

LADENBURG THALMANN & CO. INC.

M. J. WHITMAN, INC.

Primary Firm SEC Registration

STEADTRUST

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2003

Series 63

Date: 7/24/1995

SIE

Date: 5/19/2015

Series 7

Date: 6/20/1995

Current Firm

STEADTRUST

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEADTRUST

TRUST BUT VERIFY

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