JC
James P. Carlson
CETERA INVESTMENT ADVISERS LLC
BURNSVILLE, MN
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CRD#: 1479425
JC
Professional summary
James Peter Carlson, who also goes by Jim Carlson, James P Carlson, James Carlson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Burnsville, Minnesota and CETERA WEALTH SERVICES, LLC located in Burnsville, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Carlson | James P Carlson | James 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.
1) CARLSON COMPREHENSIVE BENEFITS LLC DBA CARLSON FINANCIAL STRATEGIES POSITION: Manager NATURE: Carlson Financial Strategies provides investment planning, tax planning, retirement planning, estate planning and risk analysis. INVESTMENT RELATED: Yes NUMBER OF HOURS: 110 SECURITIES TRADING HOURS: 110 START DATE: 08/17/2001 ADDRESS: Cliff Cove Town Office, 2418 E. 117th Street, Burnsville MN 55337, United States DESCRIPTION: At Carlson Financial Strategies I meet with clients to provide financial planning services which includes tax planning, estate planning, income planning and wealth management and risk analysis. 2) INTEGRITY MARKETING GROUP, LLC FKA IFC NATIONAL MARKETING, INC. POSITION: Independent Contractor NATURE: I prospect for and sell Medicare Insurance and Individual Health Insurance for clients of my company. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/1995 ADDRESS: Carlson Financial Strategies, 2418 E, 117th Street, BURNSVILLE MN 55337, United States DESCRIPTION: To meet Medicare training requirements annual review and testing is completed before selling products. Agents complete full training to understand the unique Individual plans and what the deductible and out of pocket costs will be. 3) RENTAL BUSINESS PROPERTY POSITION: Owner NATURE: I am the owner of my business office. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/05/2002 ADDRESS: Cliff Cove Town Office, 2418 E. 117th Street, BURNSVILLE MN 55337, United States DESCRIPTION: AS the owner I maintain and clean the property. All utilities and taxes are paid by me. There are no other renters that occupy space. 4) MIDWEST FINANCIAL GROUP POSITION: Financial Advisor NATURE: To Prospect for and educate clients and prospects to help them purchase financial products offered by Midwest Financial and their broker/dealer, Avantax. Midwest Financial provides financial planning, investment planning, retirement planning, risk analysis, tax planning, estate planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 20 START DATE: 07/20/2023 ADDRESS: 2418 E, 117th Street, BURNSVILLE MN 55337, United States DESCRIPTION: As a Advisor representative of Midwest Financial, I will prospect for new clients and service current client customers with product education and information. My business objective will be to help customers purchase financial products needed by them for income and growth. Tax planning and retirement planning are key aspects of my responsibilities. Asset management and income planning will be offered. 5) UNITED HEALTHCARE POSITION: Agent NATURE: I am approved by my Medicare Brokerage Agency to offer United Health Medicare products. This is one of 4 companies I am licensed with to offer Medicare Insurance. I have reported all of the other companies in my OBA when I started with Avantax. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/18/2024 ADDRESS: Producer Credentialing, 185 Asylum St FL 5, Hartford CT 06103-1269, United States DESCRIPTION: I will offer United Health as an option for my Medicare prospects.
CRS (Client Relationship Summary) - RIA
Click below to view James Peter 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BURNSVILLE, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2418 E 117th St., Burnsville, MN 55337BD
CRD#: 13572
Burnsville, MN
Past
August 2, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Burnsville, MN
Past
July 24, 2023 - July 24, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Burnsville, MN
Past
July 24, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Burnsville, MN
Past
December 19, 2013 - July 24, 2023
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
BURNSVILLE, MN
Past
August 27, 2003 - July 24, 2023
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
BURNSVILLE, MN
Past
April 3, 1986 - June 24, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(9/5/2025)
RR
Florida(9/5/2025)
RR
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
North Dakota(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
