Karla S. Pergande
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 Suzanne Pergande, who also goes by Karla Pergande Groh, Karla Suzanne Pergande-groh, was a registered financial professional .
Karla is a previously registered financial professional and started their career in finance in 2001. Karla had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2006 - February 6, 2020
DFA SECURITIES LLC
February 15, 2005 - August 23, 2006
PRINCIPAL SECURITIES, INC.
February 8, 2003 - August 23, 2006
PRINCIPAL SECURITIES, INC.
July 13, 2001 - December 31, 2002
USI SECURITIES, INC.
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
DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
Red Flags
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