Karalyn Jayne Carlton

Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2013 → 02/2018
  Cetera Advisors Llc
  Denver, CO
• 02/2018 → Present
  Independent Financial Group
  Seattle, WA

Previous Registrations

• 2012-02-28 → 2018-02-26
  Cetera Advisors Llc
  Greenwood Village, CO
  Seattle, WA
  Greenwood Village, CO
• 2012-06-07 → 2013-11-14
  Trademark Financial Management, Llc
  Bloomington, MN
• 2003-05-06 → 2012-02-28
  Pacific West Financial Consultants Inc
  Renton, WA

Other Businesses

(1) INSURANCE POSITION: Officer/Director NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 02/23/2018 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: WA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS (2) CARLTON & COMPANY FINANCIAL INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2011 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: INVESTMENT ADVISER AND REGISTERED REPRESENTATIVE OF DBA CARLTON & COMPANY FINANCIAL INC OFFERING SECURITIES, ADVISORY AND INSURANCE SERVICES (3) CARLTON WEALTH MANAGEMENT, INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/10/2025 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: Managing Director, President (4) KARALYN CARLTON POSITION: POA NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2012 ADDRESS: 1146 NW 58th Street, Seattle WA 98107, United States DESCRIPTION: If needed, I would be the medical and financial POA for my husband. (5) WASHINGTON WOMEN'S FOUNDATION POSITION: Volunteer NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2019 ADDRESS: 2107 Elliott Avenue, Suite 305, Seattle WA 98121, United States DESCRIPTION: Attend periodic events. Read grants (if I'm on a grant committee) I provide $2500 to contribute to these grants.

Exams

• S66 Uniform Combined State Law Examination
  2003-05-05