Richard L. Carlson

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CRD#: 1422347

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.

Richard Lloyd Carlson, CFP®, who also goes by Rick Carlson, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Carlson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Experience

Past

November 9, 2018 - December 19, 2018

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

RIA

CRD#: 187519

TAMPA, FL

Past

July 27, 2012 - July 12, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ODESSA, FL

Past

December 8, 2010 - July 12, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

TAMPA, FL

Past

May 4, 2010 - November 10, 2010

JUPITER DISTRIBUTION PARTNERS, INC.

CRD#: 130850

GREENACRES, FL

Past

January 6, 2010 - February 10, 2010

OSAIC SERVICES, INC.

CRD#: 133763

MAITLAND, FL

Past

August 25, 2009 - December 14, 2009

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

ODESSA, FL

Past

August 19, 2009 - December 14, 2009

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

ODESSA, FL

Past

April 26, 2006 - April 20, 2009

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

TAMPA, FL

Past

January 12, 1990 - April 21, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

November 3, 1987 - December 31, 1989

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 11, 1985 - January 14, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/19/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/11/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/1989

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/2010

General Securities Principal Examination

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

CRD#: 187519 / SEC#: 801-117852

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Florida

Registered Investment Advisory firm - (1/7/2020 Terminated)

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Contact information

Main Address

10015 Gallant Lane, Tampa, FL 33625

Mailing Address

Phone number

(813) 443-0879

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (6/4/2025)

Regulatory assets under management

Total Number of Accounts	670
AUM (Assets Under Management)	$ 152,033,063

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

Richard L. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

JUPITER DISTRIBUTION PARTNERS, INC.

OSAIC SERVICES, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2009

Series 63

Date: 10/11/1985

SIE

Date: 7/12/2017

Series 7

Date: 5/13/1989

Series 6

Date: 10/10/1985

Series 24

Date: 8/19/2010

Current Firm

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANDY MORRIS FINANCIAL & ESTATE PLANNING SERVICES, LLC

TRUST BUT VERIFY

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