Karla Flores-ybaceta
Professional summary
Karla Flores-ybaceta was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Karla is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Karla had worked at 4 firms, which includes COUNTRYWIDE INVESTMENT SERVICES INC., WAMU INVESTMENTS INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2007 - November 15, 2007
COUNTRYWIDE INVESTMENT SERVICES, INC.
April 5, 2005 - October 12, 2007
WAMU INVESTMENTS, INC.
April 5, 2005 - October 12, 2007
WAMU INVESTMENTS, INC.
April 9, 2003 - April 4, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 2003 - April 4, 2005
IDS LIFE INSURANCE COMPANY
March 26, 2003 - April 4, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
COUNTRYWIDE INVESTMENT SERVICES, INC.
CRD#: 103919 / SEC#: , 8-52390
Contact information
Documents
Direct owners and executive officers
Red Flags
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