KC
Karalyn J. Carlton
INDEPENDENT FINANCIAL GROUP
Seattle, WA 98121
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CRD#: 4602987
KC
Professional summary
Karalyn Jayne Carlton, AIF® is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Seattle, Washington.
Karalyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Karalyn has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 02/23/2018 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: WA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) CARLTON & COMPANY FINANCIAL INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2011 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: INVESTMENT ADVISER AND REGISTERED REPRESENTATIVE OF DBA CARLTON & COMPANY FINANCIAL INC OFFERING SECURITIES, ADVISORY AND INSURANCE SERVICES CARLTON WEALTH MANAGEMENT, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/10/2025 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: Managing Director, President
CRS (Client Relationship Summary) - RIA
Click below to view Karalyn Jayne Carlton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karalyn Jayne Carlton'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®
Experience
Current
February 23, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2107 Elliott Avenue Suite 305, Seattle, WA 98121RIA
BD
CRD#: 7717
Seattle, WA
Current
February 23, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 2107 Elliott Avenue Suite 305, Seattle, WA 98121RIA
BD
CRD#: 7717
Seattle, WA
Past
June 7, 2012 - November 14, 2013
TRADEMARK FINANCIAL MANAGEMENT, LLC
RIA
CRD#: 116543
BLOOMINGTON, MN
Past
February 28, 2012 - February 26, 2018
CETERA ADVISORS LLC
RIA
CRD#: 10299
SEATTLE, WA
Past
February 28, 2012 - February 26, 2018
CETERA ADVISORS LLC
BD
CRD#: 10299
SEATTLE, WA
Past
May 6, 2003 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
February 13, 2003 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
RENTON, WA
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(2/23/2018)
RR
California(2/23/2018)
RR
Colorado(3/20/2025)
RR
District of Columbia(2/23/2018)
RR
Hawaii(1/8/2025)
RR
Idaho(2/23/2018)
RR
Minnesota(2/23/2018)
RR
Montana(1/9/2025)
RR
Nevada(8/2/2021)
RR
Oregon(2/23/2018)
RR
Vermont(4/25/2018)
RR
Virginia(2/23/2018)
RR
Washington(2/23/2018)
IAR
Washington(2/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
