BC
Bruce E. Carlson
KESTRA ADVISORY SERVICES
North Oaks, MN 55127
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CRD#: 1043071
BC
Professional summary
Bruce Emery Carlson, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in North Oaks, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in North Oaks, Minnesota.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Bruce has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 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.
Business Name: Carlson Asset Management Investment Related: Yes Address: 400 Village Center Drive North oaks MN 55127 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President of CAM Start Date: 8/24/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Interface with clients and manage their investment portfolios Business Name: Bruce Carlson Notary Investment Related: No Address: 400 village center drive north oaks MN 55127 Nature of Business: Other Other/None of the Above None Position, Title or Relationship: I am the notary. Start Date: 1/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I only notarize documents as needed Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President Start Date: 8/23/2017 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Manage and assist clients with security accounts and financial planning.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Emery Carlson's 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®
CFP®
Start date: 1988
Experience
Current
August 23, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 400 Village Center Drive Suite 400, North Oaks, MN 55127RIA
CRD#: 283330
North Oaks, MN
Current
August 24, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 400 Village Center Dr. Suite 400, North Oaks, MN 55127BD
CRD#: 42046
North Oaks, MN
Past
January 30, 2014 - October 28, 2014
CARLSON ASSET MANAGEMENT
RIA
CRD#: 139579
NORTH OAKS, MN
Past
May 6, 2004 - August 24, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
ST. PAUL, MN
Past
December 19, 2003 - August 24, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
NORTH OAKS, MN
Past
July 23, 1999 - January 9, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 2, 1998 - August 18, 1999
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 22, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 24, 1982 - June 9, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/30/2021)
RR
California(11/22/2019)
RR
Connecticut(11/22/2019)
RR
Florida(8/24/2017)
RR
Indiana(3/1/2023)
RR
Iowa(8/29/2017)
RR
Kansas(9/10/2019)
RR
Maine(1/27/2023)
RR
Michigan(8/24/2017)
IAR
Minnesota(8/23/2017)
RR
Minnesota(8/24/2017)
RR
Missouri(11/25/2019)
RR
Montana(1/2/2019)
RR
Nebraska(11/27/2019)
RR
Nevada(1/18/2023)
RR
New Hampshire(7/22/2022)
RR
North Dakota(9/1/2017)
RR
Ohio(11/4/2021)
RR
South Dakota(8/9/2021)
RR
Texas(10/21/2021)
RR
Virginia(8/29/2017)
RR
Washington(1/26/2023)
RR
Wisconsin(1/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
