Karla K. Stanton

OSAIC WEALTH

Maumee, OH 43537

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CRD#: 4885960

Professional summary

Karla K Stanton, AIF®, CFP®, who also goes by Karla Kay Pennington, Karla Kay Stanton, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Maumee, Ohio.

Karla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Karla has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karla Kay Pennington | Karla Kay Stanton

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. DBA - Engler, Garrow & Roth, Ltd.: W2 employee and producing representative. Start date: 2/15/22, approx. 200 hrs/mo, 70% during mkt hrs. INV REL: Y 2. Independently licensed insurance agent for the sale of various insurance products, including life, disability and LTC, through various insurance companies. Start date: 2/15/22, approx. 3 hrs/mo with 50% during mkt hrs. INV REL: Y 3. Notary Public - Lenawee County, MI. Provide notary services. Commission started June 2019 and expires on 2/20/26. Approx. 1 hr/mo, 1% during mkt hrs. 4. Board member/Secretary - Fulton County Pork Producers, Wauseon, OH. Organization helps with activities related to fair activities and the Junior Livestock Auction. Start date: 12/12/23, approx. 3 hrs/mo, none during mkt hrs. INV REL: N 5. ENGLER, GARROW & ROTH, LTD POSITION: Insurance Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/15/2013 ADDRESS: 1645 Indian Wood Circle, Ste 102, Maumee OH 43537, United States DESCRIPTION: Independently licensed insurance agent for sale of various insurance products through various insurance companies. 6. ENGLER, GARROW & ROTH, LTD POSITION: Employee NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 140 START DATE: 08/15/2013 ADDRESS: 1645 Indian Wood Circle, Ste 102, Maumee OH 43537, United States DESCRIPTION: W2 employee providing sales and service of securities and financial planning. 7. FULTON COUNTY PORK PRODUCERS POSITION: Secretary NATURE: Nonprofit INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2023 ADDRESS: 8770 State Route 108, Ste A, Wauseon OH 43567, United States DESCRIPTION: Record minutes and correspond with others organizations and community members 8. NOTARY PUBLIC POSITION: Notary Public NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/17/2019 ADDRESS: 768 Klein Ct, Manitou Beach MI 49253, United States DESCRIPTION: Notary services 9. ENGLER, GARROW & ROTH, LTD POSITION: Financial Planner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 35 START DATE: 02/15/2022 ADDRESS: 1645 Indian Wood Circle, Suite 102, Maumee OH 43537, United States DESCRIPTION: As a W2 employee of Engler, Garrow & Roth, Ltd, I use this DBA for marketing and promotional purposes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karla K Stanton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Karla K Stanton's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

April 1, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1645 Indian Wood Circle Suite 102, Maumee, OH 43537Office #2: 205 W. Main Street, Morenci, MI 49256Office #3: 311 N Winter Street, Adrian, MI 49221

RIA

CRD#: 23131

Maumee, OH

Current

April 1, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1645 Indian Wood Circle Suite 102, Maumee, OH 43537Office #2: 205 W. Main Street, Morenci, MI 49256Office #3: 311 N Winter Street, Adrian, MI 49221

RIA

CRD#: 23131

Maumee, OH

Past

August 30, 2013 - April 1, 2024

SPC

RIA

CRD#: 110692

ADRIAN, MI

Past

November 4, 2008 - April 1, 2024

SIGMA FINANCIAL CORPORATION

CRD#: 14303

MAUMEE, OH

Past

October 6, 2008 - December 31, 2010

SPC

RIA

CRD#: 110692

ADRIAN, MI

Past

March 2, 2005 - December 18, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MORENCI, MI

Past

January 17, 2005 - December 18, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MORENCI, MI

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Alaska
(4/1/2024)

Arizona
(4/1/2024)

Florida
(4/1/2024)

IAR

Florida
(4/2/2024)

Georgia
(4/1/2024)

IAR

Georgia
(4/4/2024)

Illinois
(4/1/2024)

Indiana
(4/1/2024)

Iowa
(4/1/2024)

Kentucky
(4/1/2024)

Louisiana
(4/1/2024)

Michigan
(4/1/2024)

IAR

Michigan
(4/1/2024)

Minnesota
(4/1/2024)

Montana
(4/1/2024)

North Carolina
(4/1/2024)

IAR

North Carolina
(4/1/2024)

Ohio
(4/1/2024)

IAR

Ohio
(4/1/2024)

South Carolina
(7/22/2025)

Texas
(4/1/2024)

IAR

Texas
(4/1/2024)

Washington
(4/1/2024)

Wisconsin
(4/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2005

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: 1/14/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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.

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Firm Stability Insights

Karla K. Stanton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karla K Stanton's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Karla K Stanton's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SPC

SIGMA FINANCIAL CORPORATION

SPC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2005

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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