Carl R. Carlson

CARLSON FINANCIAL

Topeka, KS 66604

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CRD#: 5802320

Professional summary

Carl R Carlson is a registered financial advisor currently at CARLSON FINANCIAL located in Topeka, Kansas.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Carl has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME: BANK COMPENSATION GROUP, INC INV REL: Y ADD: 1201 SW OAKLEY TOPEKA, KS. 66604. NATURE: BANK OWNED LIFE INSURANCE POSITION: SALES START DATE: 11/2010 NO. HR/MO: 60 NO. HR/MO DURING SEC TRADING: 60 DESCRIBE DUTIES: SELL BOLI THROUGH THIS COMPANY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl R Carlson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 12, 2022 - Present

CARLSON FINANCIAL

Office #1: 1201 Sw Oakley Avenue, Topeka, KS 66604

RIA

CRD#: 295907

Topeka, KS

Past

October 18, 2018 - December 31, 2021

CARLSON FINANCIAL

RIA

CRD#: 295907

TOPEKA, KS

Past

April 20, 2012 - May 6, 2019

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

TOPEKA, KS

Past

November 23, 2010 - March 13, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

TOPEKA, KS

Past

June 28, 2010 - November 18, 2010

TANDEM SECURITIES, INC.

CRD#: 140546

TOPEKA, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARLSON FINANCIAL

CARLSON & COMPANY FINANCIAL SERVICES, LLC | CARLSON FINANCIAL

CRD#: 295907 / SEC#: 801-113595

RIA

Registered Investment Advisory firm - (7/12/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/12/2022)

IAR

Kansas
(1/12/2022)

IAR

Virginia
(1/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/12/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/26/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARLSON FINANCIAL

CARLSON & COMPANY FINANCIAL SERVICES, LLC | CARLSON FINANCIAL

CRD#: 295907 / SEC#: 801-113595

RIA

Registered Investment Advisory firm - (7/12/2018 Approved)

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Contact information

Main Address

1201 Sw Oakley Avenue, Topeka, KS 66604

Mailing Address

5207 Hickory Park Drive Suite E, Glen Allen, VA 23059

Phone number

(844) 227-5766

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARLSON FINANCIAL - FORM ADV PART 2A - MARCH.21.2025 (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,315
AUM (Assets Under Management)	$ 546,695,880

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carl R. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl R Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARLSON FINANCIAL

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

MML INVESTORS SERVICES, LLC

TANDEM SECURITIES, INC.

Primary Firm SEC Registration

CARLSON FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2011

Series 63

Date: 7/1/2010

Series 6

Date: 6/26/2010

Current Firm

CARLSON FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARLSON FINANCIAL

TRUST BUT VERIFY

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