David K. Carlson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Kent Carlson, who also goes by Dave Carlson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - August 4, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 25, 2018 - August 4, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 18, 2016 - June 13, 2017
CETERA INVESTMENT ADVISERS LLC
October 12, 2016 - June 13, 2017
CETERA INVESTMENT SERVICES LLC
May 8, 2012 - June 15, 2016
AMERITAS INVESTMENT COMPANY, LLC
March 12, 2010 - June 15, 2016
AMERITAS INVESTMENT COMPANY, LLC
February 5, 2008 - March 5, 2010
SECURITIES AMERICA, INC.
September 14, 2007 - February 8, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 8, 2005 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
June 1, 2004 - November 1, 2005
BROKER DEALER FINANCIAL SERVICES CORP.
September 30, 1998 - October 31, 2003
AMCORE INVESTMENT SERVICES, INC
March 7, 1995 - September 30, 1998
IMG FINANCIAL SERVICES, INC.
June 8, 1983 - January 31, 1995
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
