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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

CARA PERROTTA GARDNER

Advisor at LPL FINANCIAL LLC

WATERFORD, MI | FARMINGTON HILLS, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bcdbc81f-ecd3-b607-a9c2-4f007407e33d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 9, 2011 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 15, 2016
First registration: Aug 9, 2011
Dual registered: yes, broker-dealer
Other names: CARA SOMMERFIELD|CARA P GARDNER
IAPD individual key: 5706988

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
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 25, 2021	n/a	yes	FARMINGTON HILLS, MI\|WATERFORD, MI	Current employment
PKS ADVISORY SERVICES, LLC	Independent wealth	Jun 18, 2020	Feb 25, 2021	no	ALBANY, NY	Previous registration
MICHIGAN ADVISORS, INC	Former SEC adviser	Dec 16, 2016	Jul 15, 2020	no	Bloomfield Hills, MI\|ALBANY, NY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 9, 2011	Nov 1, 2011	no	BLOOMFIELD HILLS, MI\|Howell, MI	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
PKS ADVISORY SERVICES, LLC	LPL FINANCIAL LLC	Feb 25, 2021	Feb 25, 2021	0	Firm change	RIA to ibd
MICHIGAN ADVISORS, INC	PKS ADVISORY SERVICES, LLC	Jul 15, 2020	Jun 18, 2020	-27	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MICHIGAN ADVISORS, INC	Nov 1, 2011	Dec 16, 2016	1,872	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
124064:125648:NY:2020-07-15	Jul 15, 2020	Jun 18, 2020	ALBANY, NY	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 25, 2021 to presentfactForm ADV
→ PKS ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jun 18, 2020 to Feb 25, 2021factForm ADV
→ MICHIGAN ADVISORS, INCRegistered adviserregistration: previous registration
Dec 16, 2016 to Jul 15, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 9, 2011 to Nov 1, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bcdbc81f-ecd3-b607-a9c2-4f007407e33d
First observed: Aug 9, 2011
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CARA PERROTTA GARDNER

Advisor at LPL FINANCIAL LLC

WATERFORD, MI | FARMINGTON HILLS, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bcdbc81f-ecd3-b607-a9c2-4f007407e33d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Feb 25, 2021

n/a

yes

FARMINGTON HILLS, MI|WATERFORD, MI

Current employment

PKS ADVISORY SERVICES, LLC

Independent wealth

Jun 18, 2020

Feb 25, 2021

ALBANY, NY

Previous registration

MICHIGAN ADVISORS, INC

Former SEC adviser

Dec 16, 2016

Jul 15, 2020

Bloomfield Hills, MI|ALBANY, NY

Previous registration

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Aug 9, 2011

Nov 1, 2011

BLOOMFIELD HILLS, MI|Howell, MI

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

PKS ADVISORY SERVICES, LLC

LPL FINANCIAL LLC

Feb 25, 2021

Firm change

RIA to ibd

MICHIGAN ADVISORS, INC

PKS ADVISORY SERVICES, LLC

Jul 15, 2020

Jun 18, 2020

-27

Firm change

Other

AMERIPRISE FINANCIAL SERVICES, LLC

MICHIGAN ADVISORS, INC

Nov 1, 2011

Dec 16, 2016

1,872

Firm change after gap

Other

Team

Left

Joined

From

Kind

124064:125648:NY:2020-07-15

Jul 15, 2020

Jun 18, 2020

ALBANY, NY

Firm change