Karla Kleinpeter Raby
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.
Karla Kleinpeter Raby, who also goes by Karla Denise Kleinpeter, Karla Kleinpeter-raby, Karla Denise Kleinpeterraby, Karla Raby, was a registered financial professional .
Karla is a previously registered financial professional and started their career in finance in 1996. Karla had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - June 25, 2015
LPL FINANCIAL LLC
September 20, 2012 - June 25, 2015
LPL FINANCIAL LLC
January 3, 2012 - September 21, 2012
SECURITIES AMERICA ADVISORS, INC.
January 3, 2012 - September 21, 2012
SECURITIES AMERICA, INC.
February 8, 2010 - November 1, 2011
ANCORA PRIVATE WEALTH ADVISORS, LLC
February 4, 2010 - November 1, 2011
INVERNESS SECURITIES, LLC
April 30, 2009 - February 8, 2010
UBS FINANCIAL SERVICES INC.
April 30, 2009 - February 8, 2010
UBS FINANCIAL SERVICES INC.
December 15, 2008 - December 31, 2008
UBS FINANCIAL SERVICES INC.
February 4, 2008 - December 31, 2008
UBS FINANCIAL SERVICES INC.
April 1, 2004 - November 30, 2007
FERRIS, BAKER WATTS, LLC
January 2, 2000 - April 5, 2004
KEYBANC CAPITAL MARKETS INC.
October 9, 1996 - December 31, 1997
PFS INVESTMENTS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
