Robert Carlson
Professional summary
Robert Carlson, who also goes by Bob Carlson, is a registered financial professional currently at GRADIENT SECURITIES, LLC located in Senoia, Georgia.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 5 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2016 - Present
GRADIENT SECURITIES, LLC
December 1, 2006 - February 24, 2015
QUESTAR CAPITAL CORPORATION
November 12, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
October 15, 2003 - September 22, 2004
HIGH MARK SECURITIES, INC.
October 17, 1986 - October 15, 2003
OSAIC FS, INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2017)
(4/12/2016)
(4/13/2016)
(1/26/2022)
(4/27/2022)
(8/12/2024)
(4/12/2016)
(3/24/2021)
(4/13/2016)
(9/16/2021)
(3/21/2024)
Exams
FINRA
Current Firm
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
