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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

KARLA RENEE PEMBERTON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

West Linn, OR | Lake Oswego, OR

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Search this name across graphsid dfx:ria:02063f9d-b54e-5b3c-112b-861d7481e2a8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 19, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 19, 2005
First registration: Jan 25, 2006
Dual registered: yes, broker-dealer
Other names: KARLA GARCIA|KARLA RENEE GARCIA
IAPD individual key: 4944651

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 23, 2019	n/a	yes	Lake Oswego, OR\|West Linn, OR	Current employment
M HOLDINGS SECURITIES, INC.	Bd affiliated wealth	Apr 18, 2013	Apr 12, 2016	no	PORTLAND, OR\|PORTLAND, OR	Previous registration
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Former SEC adviser	Aug 28, 2009	Apr 10, 2013	no	PORTLAND, OR\|PORTLAND, OR	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 11, 2006	Sep 3, 2009	no	PORTLAND, OR	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jan 25, 2006	Apr 24, 2006	no	WEST LINN, OR	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M HOLDINGS SECURITIES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 12, 2016	Jan 23, 2019	1,016	Firm change after gap	Other
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	M HOLDINGS SECURITIES, INC.	Apr 10, 2013	Apr 18, 2013	8	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC	Sep 3, 2009	Aug 28, 2009	-6	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	Apr 24, 2006	May 11, 2006	17	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 23, 2019 to presentfactForm ADV
→ M HOLDINGS SECURITIES, INC.Registered adviserregistration: previous registration
Apr 18, 2013 to Apr 12, 2016factForm ADV
→ STEWARD PARTNERS INVESTMENT SOLUTIONS, LLCRegistered adviserregistration: previous registration
Aug 28, 2009 to Apr 10, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 11, 2006 to Sep 3, 2009factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 25, 2006 to Apr 24, 2006factForm ADV

Dated events

No dated event names this entity yet.