KP
Karen S. Patel
CETERA INVESTMENT ADVISERS LLC
FIRESTONE, CO
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CRD#: 3170316
KP
Professional summary
Karen Sue Patel, who also goes by Karen Sue Stoller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Firestone, Colorado and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Karen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Sue Stoller
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. NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE RESOURCE GROUP POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2019 ADDRESS: 2701 University Ave SE, Minneapolis MN 55414, United States DESCRIPTION: Updated version of firm fixed insur activity OBA. Offering clients group/EE benefits and fixed insurance options outside of the carriers that have selling arrangements with Sec Fin or MN Life Insur Co. 2. NORTH METRO DENVER SMALL BUSINESS DEVELOPMENT CENTER POSITION: Consultant NATURE: Consultant INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2020 ADDRESS: Front Range Community College, 3645 West 112th Avenue, Westminster, CO 80031 CO 80031, United States DESCRIPTION: The SBDC is a community outreach program of the SBA to create economic development and job creation in the respective area. Both my banking, non-profit and economic development experience can aid in the service of the SBA. 3. STONERIDGE HOMEOWNERS ASSOC POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2022 ADDRESS: MSI-11002 Benton St, Westminster CO 80020, United States DESCRIPTION: Provide leadership in relations to existing HOA rules and guidelines with homeowners to beautify and strengthen the association. 4. EXECUTIVE NEWCOMERS CLUB POSITION: co-founder NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: unknown yet - haven't file w Sec of State, Denver CO 80202, United States DESCRIPTION: Ambassadors connecting business executives to enhance the economic vitality of Colorado's communities. Purpose: Provide networking/business opportunities thru sophisticated and high level interactions with influential residents within Metropolitan Greater Denver,Colorado Mission: To engage newly relocated executive/professionals to culture of Mile High City Objective: *Improve and increase business opportunities * Provide outlet of culture and community diversity * Create commitment to support greater economy (USC) 5. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Karen Sue Patel'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®
NoneExperience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FIRESTONE, CO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
January 9, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
DENVER, CO
Past
August 23, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
DENVER, CO
Past
October 27, 2014 - August 16, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEWPORT BEACH, CA
Past
April 15, 2013 - August 16, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEWPORT BEACH, CA
Past
March 24, 1999 - April 23, 2001
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
IAR
Colorado(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Massachusetts(2/3/2025)
RR
Ohio(1/31/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
