Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Kayla Ruth Clark
KAYLA RUTH CLARK, Kayla R Clark, KAYLA RUTH PETERSON, KAYLA PETERSON
CRD#: 3077789
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 Lake Mills, IA
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2005 (5 years)2 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2011 (2 years)2 FIRMS2011 - 2015 (3 years)2 FIRMS2015 - 2017 (1 year)2 FIRMS2017 - 2020 (2 years)2 FIRMS2023 - Present (1 year)BCAPSTONE INVESTMENTS (CRD# 41400)1999 - 1999 (<1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1998 - 1998 (<1 year)IAMOTIV8 INVESTMENTS LLC (CRD# 285560)2020 - 2023 (3 years)IAFORTHRIGHT CAPITAL ADVISORY (CRD# 323596)2023 - 2023 (<1 year)
Disclosure(s)
View By:
6/20/1985
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 1/5/2024
B
Missouri 1/5/2024
B
Alaska 1/29/2024
B
Montana 1/11/2024
B
Arizona 1/5/2024
B
Nebraska 1/5/2024
B
Arkansas 1/17/2024
B
Nevada 1/11/2024
B
California 1/5/2024
B
New Hampshire 1/9/2024
B
Colorado 1/5/2024
B
New Jersey 1/9/2024
B
Connecticut 1/5/2024
B
New Mexico 1/5/2024
B
Delaware 1/22/2024
B
New York 1/7/2024
B
District of Columbia 1/8/2024
B
North Carolina 1/11/2024
B
Florida 1/5/2024
B
North Dakota 1/8/2024
B
Georgia 1/9/2024
B
Ohio 1/5/2024
B
Hawaii 1/10/2024
B
Oklahoma 1/8/2024
B
Idaho 1/17/2024
B
Oregon 1/5/2024
B
Illinois 1/17/2024
B
Pennsylvania 1/5/2024
B
Indiana 1/22/2024
B
Rhode Island 1/5/2024
B
Iowa 12/18/2023
B
South Carolina 1/12/2024
IA
Iowa 7/16/2024
B
South Dakota 1/5/2024
B
Kansas 1/5/2024
B
Tennessee 1/9/2024
B
Kentucky 1/5/2024
B
Texas 1/5/2024
B
Louisiana 1/10/2024
B
Utah 1/8/2024
B
Maine 1/9/2024
B
Vermont 1/5/2024
B
Maryland 1/10/2024
B
Virginia 1/5/2024
B
Massachusetts 1/5/2024
B
Washington 1/4/2024
B
Michigan 1/8/2024
B
West Virginia 1/17/2024
B
Minnesota 1/5/2024
B
Wisconsin 1/5/2024
B
Mississippi 1/12/2024
B
Wyoming 1/8/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
Lake Mills, IA
Registered with this firm since 11/27/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
Lake Mills, IA
Registered with this firm since 11/24/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/17/2020 - 11/08/2023 MOTIV8 INVESTMENTS LLC (CRD#:285560) Lake Mills, IA
IA
 10/24/2023 - 11/07/2023 FORTHRIGHT CAPITAL ADVISORY (CRD#:323596) Lake Mills, IA
IA
 12/07/2017 - 05/13/2020 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) FITCHBURG, WI
B
 12/06/2017 - 05/13/2020 SECURITIES AMERICA, INC. (CRD#:10205) FITCHBURG, WI
IA
 08/06/2015 - 03/29/2017 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) MIDDLETON, WI
B
 06/29/2015 - 03/29/2017 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MIDDLETON, WI
IA
 08/02/2011 - 05/01/2015 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) Milwaukee, WI
B
 08/01/2011 - 05/01/2015 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) Milwaukee, WI
IA
 12/16/2008 - 02/11/2011 QA3 FINANCIAL LLC (CRD#:104957) CHULA VISTA, CA
B
 12/15/2008 - 02/11/2011 QA3 FINANCIAL CORP. (CRD#:14754) CHULA VISTA, CA
IA
 11/01/2005 - 12/17/2008 ING FINANCIAL PARTNERS, INC (CRD#:2882) CHULA VISTA, CA
B
 10/19/2005 - 12/17/2008 ING FINANCIAL PARTNERS, INC. (CRD#:2882) CHULA VISTA, CA
IA
 04/07/2000 - 10/27/2005 INTERSECURITIES, INC. (CRD#:16164) CHULA VISTA, CA
B
 03/28/2000 - 10/27/2005 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
 01/22/1999 - 11/05/1999 CAPSTONE INVESTMENTS (CRD#:41400) SAN DIEGO, CA
B
 08/10/1998 - 12/10/1998 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.