KE
Karlyn R. Etheridge
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Eau Claire, WI 54703
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CRD#: 5233299
KE
Professional summary
Karlyn Renee Etheridge, who also goes by Karlyn Casper, Karlyn Etheridge, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Eau Claire, Wisconsin.
Karlyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Karlyn has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karlyn Casper | Karlyn Etheridge
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.) TEK. CATTLE - PROPRIETOR/OWNER W/HUSBAND - CATTLE OPERATION - EAU CLAIRE, WI - SINCE 01/1990 - NOT INVESTMENT RELATED 2.) DECADES FINANCIAL LLC - ASSOCIATE - DBA NAME FOR MARKETING PURPOSES ONLY - EAU CLAIRE, WI - SINCE 08/2020 - INVESTMENT RELATED 3.) BELTED GALLOWAY FOUNDATION - MEMBER OF THE BOARD - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - NEW GLARUS, WI - SINCE 01/2011 - NOT INVESTMENT RELATED 4.) INSURANCE - LICENSED AGENT - NON-VARIABLE INSURANCE - EAU CLAIRE, WI - SINCE 06/2008 - INVESTMENT RELATED 5.) KARLYN R. ETHERIDGE - NOTARY PUBLIC - NOTARY - EAU CLAIRE, WI - SINCE 10/2020 - NOT INVESTMENT RELATED 6.) DECADES FINANCIAL, LLC. - CERTIFIED SPECIALIST IN ESTATE PLANNING (CSEP) - ESTATE PLANNING - EAU CLAIRE, WI - SINCE 10/2010 - INVESTMENT RELATED 7.) CASPER TRUST DATED MAY 26, 1987 - TRUSTEE - ACTING IN A FIDUCIARY CAPACITY - EAU CLAIRE, WI - SINCE 08/2020 - NOT INVESTMENT RELATED 8.) KARLYN ETHERIDGE - INSURANCE AGENT - NON-VARIABLE INSURANCE - EAU CLAIRE, WI - SINCE 06/2008 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Karlyn Renee Etheridge's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karlyn Renee Etheridge'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®
NoneExperience
Current
September 1, 2020 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 2523 W. Folsom Street Suite A1, Eau Claire, WI 54703RIA
BD
CRD#: 20804
Eau Claire, WI
Current
September 1, 2020 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 2523 W. Folsom Street Suite A1, Eau Claire, WI 54703RIA
BD
CRD#: 20804
Eau Claire, WI
Past
June 20, 2020 - August 11, 2020
GREAT VALLEY ADVISOR GROUP, LLC
RIA
CRD#: 123913
ALTOONA, WI
Past
June 18, 2020 - August 5, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
ALTOONA, WI
Past
October 15, 2012 - August 18, 2020
BERNICKE WEALTH MANAGEMENT, LTD.
RIA
CRD#: 164892
ALTOONA, WI
Past
October 15, 2012 - June 19, 2020
TRIAD ADVISORS LLC
BD
CRD#: 25803
Altoona, WI
Past
January 2, 2009 - October 16, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
EAU CLAIRE, WI
Past
July 16, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
EAU CLAIRE, WI
Past
July 16, 2008 - October 16, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EAU CLAIRE, WI
Past
September 27, 2007 - July 16, 2008
SII INVESTMENTS, INC.
RIA
CRD#: 2225
EAU CLAIRE, WI
Past
January 1, 2007 - July 16, 2008
SII INVESTMENTS, INC.
BD
CRD#: 2225
EAU CLAIRE, WI
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".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
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.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(3/1/2021)
RR
California(3/1/2021)
RR
Colorado(3/1/2021)
RR
Florida(3/1/2021)
RR
Michigan(12/3/2024)
RR
Minnesota(3/1/2021)
RR
Missouri(9/23/2025)
RR
North Carolina(8/1/2023)
RR
South Dakota(3/1/2021)
RR
Tennessee(8/11/2023)
RR
Texas(3/1/2021)
RR
Virginia(2/14/2025)
RR
Washington(9/23/2025)
RR
Wisconsin(9/1/2020)
IAR
Wisconsin(9/1/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD#: 20804Eau Claire, WI 54703TRUST BUT VERIFY
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