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Carla Campbell
CETERA INVESTMENT ADVISERS LLC
ENCINITAS, CA 92024
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CRD#: 3152952
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Professional summary
Carla Campbell, CFP®, who also goes by Carla A Campbell, Carla Campbell-clark, Carla Campbell Dogue, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Encinitas, California and CETERA WEALTH SERVICES, LLC located in Encinitas, California.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Carla has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carla A Campbell | Carla Campbell-Clark | Carla Campbell Dogue
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) Fiduciary Appointment-Trustee~'NIR'~6652 Sitio Palmas~Carlsbad~CA~92009~8/1/2013~10hrs~2hrs~As trustee, I pay all bills, obtain services for the real estate and manage the investment portfolio. In 2017, I engaged the services of attorney to administer the trust after the passing of my father. 2) Campbell-Dogue Accountancy Cor~'NIR'~7720 El Camino Real, Suite 2L~Carlsbad~CA~92009~Tax Preparation/Accounting~Tax Preparation/Accounting~5/17/1991~86hrs~40hrs~CPA 3) CLARION WEALTH MANAGEMENT POSITION: Founding Financial Advisor NATURE: Clarion Wealth Management is the DBA name used for marketing and promoting financial services to high net worth individuals. Clarion Wealth Management has selected the S Corporation entity status effective January 1, 2023. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 65 START DATE: 01/01/2023; 285 N. El Camino Real, Suite 215, Encinitas CA 92024, Carla Campbell serves as the Chief Operations Officer for Clarion WM. Duties and responsibilities include company organization and systematizing processes. Preparing outline for the firm website for marketing and promotion of the firm. 4) ESTATE OF JIMMY CAMPBELL POSITION: Co-Executor NATURE: Received a phone call followed by a will and death certificate naming Carla Campbell as a Co-executor for the estate of my Uncle Jimmy Campbell who recently passed away. The will states that Carla Campbell is also one of the beneficiaries to the estate assets. Received the death certificate 1/15/2024; death certificate contains an error naming Bernard Davidson as my uncles son. This is inaccurate, Jimmy Campbell had no children and did not adopt Bernard Davidson who is also named as co-executor in a codicil to the original will. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/15/2024 ADDRESS: 285 N El Camino Real #215, Carlsbad CA 92024, United States DESCRIPTION: Co-executor to assist with gathering estate assets and provide investment management and tax advice. I currently manage two advisory accounts. I have requested an asset estate inventory from Bernard Davidson who resides in New York the resident state of Jimmy Campbell. 5) CLARION TAX & WEALTH STRATEGIES POSITION: President NATURE: Clarion Tax & Wealth Strategies is the DBA name used for marketing and promoting financial services. Clarion Tax & Wealth Strategies is a S-Corp. Operations begin Jan 1, 2025. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 11/07/2024 ADDRESS: 285 N El Camino Real, Ste 215, Encinitas CA 92024, United States DESCRIPTION: Carla Campbell serves as the president of Clarion Tax & Wealth Strategies. Duties and responsibilities include company organization and systematizing processes. Carla Campbell sets the vision for the company.
CRS (Client Relationship Summary) - RIA
Click below to view Carla Campbell's 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®
CFP®
Start date: 2004
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 285 N. El Camino Real Suite 215, Encinitas, CA 92024RIA
CRD#: 105644
ENCINITAS, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 285 N. El Camino Real Suite 215, Encinitas, CA 92024BD
CRD#: 13572
Encinitas, CA
Past
December 30, 1999 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Encinitas, CA
Past
July 19, 1999 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Encinitas, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Idaho(9/5/2025)
RR
Michigan(9/5/2025)
RR
New York(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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.
