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KT

Karla E. Thompson

CRD#: 4328022

Some features on this profile are disabled

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 E Thompson, who also goes by Karla Eloisa Abiodun, Karla Eloisa Thompson, Karla VIllela, was a registered financial professional .

Karla is a previously registered financial professional and started their career in finance in 2012. Karla had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Karla Eloisa Abiodun | Karla Eloisa Thompson | Karla Villela

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.

The advisor shows no other business activity.

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

October 16, 2025 - May 21, 2026

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN DIEGO, CA

Past

October 16, 2025 - May 21, 2026

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

SAN DIEGO, CA

Past

October 16, 2025 - May 21, 2026

CETERA INVESTMENT SERVICES LLC

BD

CRD#: 15340

SAN DIEGO, CA

Past

October 16, 2025 - May 21, 2026

CETERA FINANCIAL SPECIALISTS LLC

BD

CRD#: 10358

SAN DIEGO, CA

Past

October 16, 2025 - May 21, 2026

CETERA ADVISORS LLC

BD

CRD#: 10299

SAN DIEGO, CA

Past

August 8, 2018 - July 7, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SAN DIEGO, CA

Past

August 8, 2018 - July 7, 2025

CUSO FINANCIAL SERVICES, L.P.

BD

CRD#: 42132

SAN DIEGO, CA

Past

April 17, 2018 - August 6, 2018

KINGSWOOD CAPITAL PARTNERS, LLC

BD

CRD#: 288898

San Diego, CA

Past

January 16, 2018 - August 6, 2018

KINGSWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 288792

SAN DIEGO, CA

Past

July 6, 2017 - April 22, 2018

SGMA CAPITAL MARKETS LIMITED

BD

CRD#: 135327

San Diego, CA

Past

April 28, 2015 - July 3, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

October 14, 2013 - July 3, 2017

INDEPENDENT FINANCIAL GROUP, LLC

BD

CRD#: 7717

SAN DIEGO, CA

Past

July 2, 2012 - October 4, 2013

GIRARD SECURITIES, INC.

BD

CRD#: 18697

SAN DIEGO, 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.

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

RR

IAR

Series 66

Date: 4/23/2015

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 11/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/29/2012

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 9/30/2013

General Securities Principal Examination

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)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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