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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

KARALYN JAYNE CARLTON

Advisor at INDEPENDENT FINANCIAL GROUP, LLC

Seattle, WA

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Search this name across graphsid dfx:ria:e652c318-3787-2f2f-da0f-3faab404be52

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 6, 2003 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: INDEPENDENT FINANCIAL GROUP, 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: May 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 5, 2003
First registration: May 6, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4602987

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
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 23, 2018	n/a	yes	Seattle, WA	Current employment
TRADEMARK FINANCIAL MANAGEMENT, LLC	Independent wealth	Jun 7, 2012	Nov 14, 2013	no	BLOOMINGTON, MN	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Feb 28, 2012	Feb 26, 2018	no	GREENWOOD VILLAGE, CO\|SEATTLE, WA\|GREENWOOD VILLAGE, CO	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	May 6, 2003	Feb 28, 2012	no	RENTON, WA	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
CETERA ADVISORS LLC	TRADEMARK FINANCIAL MANAGEMENT, LLC	Feb 26, 2018	Jun 7, 2012	-2,090	Firm change after gap	Other
TRADEMARK FINANCIAL MANAGEMENT, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Nov 14, 2013	Feb 23, 2018	1,562	Firm change after gap	Other
PACIFIC WEST FINANCIAL CONSULTANTS INC	CETERA ADVISORS LLC	Feb 28, 2012	Feb 28, 2012	0	Bulk transfer	Other

Relationships

Registered with (4)

→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Feb 23, 2018 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 28, 2012 to Feb 26, 2018factForm ADV
→ TRADEMARK FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 7, 2012 to Nov 14, 2013factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
May 6, 2003 to Feb 28, 2012factForm ADV

Dated events

No dated event names this entity yet.