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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

KAREN JULIE GOODWIN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Walnut Creek, CA | PLEASANTON, CA

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Search this name across graphsid dfx:ria:3b7ae94b-7d6b-1fcf-e403-1dcaa33b7596

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 22, 1998 to Sep 14, 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: Sep 17, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 17, 1992
First registration: Jan 22, 1998
Dual registered: yes, broker-dealer
Other names: KAREN KEHR|KAREN KEHR|KAREN JULIE BRISON|KAREN LULIE BRISON|KAREN BRISON|KAREN JULIE KEHR|KAREN JULIE BRISON
IAPD individual key: 2264769

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	Mar 23, 2012	n/a	yes	PLEASANTON, CA\|Walnut Creek, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 8, 2009	Apr 2, 2012	no	SACRAMENTO, CA\|SAN RAMON, CA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Feb 27, 2009	Sep 25, 2009	no	BOSTON, MA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Feb 27, 2009	Sep 8, 2009	no	SAN RAMON, CA\|SAN MATEO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 22, 1998	Mar 20, 2009	no	PLEASANTON, CA\|PLEASANTON, CA	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
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 2, 2012	Mar 23, 2012	-10	Firm change	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	LPL FINANCIAL LLC	Sep 25, 2009	Sep 8, 2009	-17	Firm change	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Sep 8, 2009	Feb 27, 2009	-193	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	ASSOCIATED SECURITIES CORP.	Mar 20, 2009	Feb 27, 2009	-21	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Mar 23, 2012 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 8, 2009 to Apr 2, 2012factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Feb 27, 2009 to Sep 25, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Feb 27, 2009 to Sep 8, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 22, 1998 to Mar 20, 2009factForm ADV

Dated events

No dated event names this entity yet.