CarlaAnn Goedtke Allegedly Recommended Unsuitable Variable Annuity

CarlaAnn Goedtke (CRD #: 2802912), a broker registered with Cambridge Investment Research, allegedly recommended an unsuitable investment, according to her BrokerCheck record, accessed on May 1, 2025. Investors may have also engaged her services through Cambridge Investment Research Advisors and Investors Choice Financial Services. Keep reading for details about her alleged conduct as a broker.

Investor Disputes

On March 20, 2025, an investor alleged that CarlaAnn Goedtke made an unsuitable recommendation of an L share variable annuity in 2012. The client seeks $80,000 in this pending dispute.

On October 2, 2024, an investor filed a dispute alleging that CarlaAnn Goedtke made misrepresentations about a variable annuity in 2012. They sought $82,039.70 in damages, but the firm denied the dispute.

However, investors can still pursue FINRA arbitration and potentially recover their losses even if a firm denies their dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles, which describe their investing experience, risk tolerance, age, tax status, and other characteristics.

Investors who rely on brokers for recommendations may be able to recover their losses through FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. Misrepresenting or omitting material facts about an investment’s requirements, fees, or other features violates this rule.

Background Information

CarlaAnn Goedtke has passed the following exams:

• General Securities Principal Examination – Series 24
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

CarlaAnn Goedtke is a registered broker in 21 states and a registered investment adviser in Minnesota and Texas.

She has also worked for the following firms:

• Osaic Wealth (CRD#:23131)
• American Portfolios Advisors (CRD#:112697)
• American Portfolios Financial Services (CRD#:18487)
• Royal Alliance Associates (CRD#:23131)
• United Securities Alliance (CRD#:36487)
• FSC Securities (CRD#:7461)

Kurta Law Can Help

If you worked with CarlaAnn Goedtke and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.