Carla A. Mulford

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CRD#: 4042883

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.

Carla Ann Mulford, who also goes by Carla Ann Lindahl, was a registered financial professional .

Carla is a previously registered financial professional and started their career in finance in 2000. Carla had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carla Ann Lindahl

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) 04/19/2010: No Business Name - Act in a Fiduciary Capacity - Investment Related - At Reported Business Location(s) - 1% Time Spent - MULFORD FAMILY REVOCABLE TRUST (2) 08/13/2015: No Business Name - Real Estate Rental - Investment Related - Carpinteria, CA - Start 03/20/2015 - 2 Hr/Mo; 0 Hour(s) During Securities Trading - owner of condo rental (3) 10/15/2019 - No Business Name - Not Investment Related - Ventura, CA 93001 - Real Estate Rental - Started 01/01/2007 - 1 Hour Per Month/0 Hours During Securities Trading - 2 Residences.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 24, 2020 - December 12, 2024

SUMMIT WEALTH MANAGEMENT GROUP, INC.

RIA

CRD#: 170029

CAMARILLO, CA

Past

May 8, 2002 - December 12, 2023

LPL FINANCIAL LLC

CRD#: 6413

CAMARILLO, CA

Past

February 4, 2000 - May 8, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 4, 2000 - May 8, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SUMMIT WEALTH MANAGEMENT GROUP, INC.

CRD#: 170029 / SEC#: 801-110950

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

California

Registered Investment Advisory firm - (1/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 5/10/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/3/2000

General Securities Representative Examination

Current Firm

SUMMIT WEALTH MANAGEMENT GROUP, INC.

CRD#: 170029 / SEC#: 801-110950

RIA

Registered Investment Advisory firm - (8/4/2017 Approved)

California

Registered Investment Advisory firm - (1/12/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/13/2017 Terminated)

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Contact information

Main Address

400 Camarillo Ranch Road Suite 202, Camarillo, CA 93012

Mailing Address

Phone number

(805) 384-1186

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (8/5/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	632
AUM (Assets Under Management)	$ 226,022,233

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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Firm Stability Insights

Carla A. Mulford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT WEALTH MANAGEMENT GROUP, INC.

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SUMMIT WEALTH MANAGEMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/3/2000

Current Firm

SUMMIT WEALTH MANAGEMENT GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH MANAGEMENT GROUP, INC.

TRUST BUT VERIFY

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