William P. Carlson
Professional summary
William Paul Carlson JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, William had worked at 16 firms, which includes EHLERT FINANCIAL GROUP INC., FORUM FINANCIAL MANAGEMENT LP, MPM WEALTH ADVISORS, KESTRA INVESTMENT SERVICES LLC, QUASAR DISTRIBUTORS LLC, FIRST FUND DISTRIBUTORS INC., FISHER INVESTMENTS, ALLSTATE FINANCIAL SERVICES LLC, HARRIS INVESTORS DIRECT INC., CAPITAL BROKERAGE CORPORATION, BOETTCHER & COMPANY INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, L.F. THOMPSON & COMPANY, SMITH-THOMAS INVESTMENT SERVICES INC., FOX & COMPANY INVESTMENTS INC., FINANCIAL ARCHITECTS SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2015 - February 6, 2017
EHLERT FINANCIAL GROUP, INC.
June 23, 2010 - February 6, 2017
FORUM FINANCIAL MANAGEMENT, LP
May 4, 2005 - June 24, 2015
MPM WEALTH ADVISORS
April 22, 2005 - April 25, 2005
MPM WEALTH ADVISORS
December 8, 2004 - April 5, 2005
KESTRA INVESTMENT SERVICES, LLC
September 29, 2004 - April 5, 2005
KESTRA INVESTMENT SERVICES, LLC
September 23, 2004 - September 25, 2004
KESTRA INVESTMENT SERVICES, LLC
October 4, 2001 - October 1, 2002
QUASAR DISTRIBUTORS, LLC
October 21, 1998 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
June 7, 1998 - September 29, 2004
FISHER INVESTMENTS
August 22, 1994 - January 16, 1995
ALLSTATE FINANCIAL SERVICES, LLC
January 26, 1994 - December 31, 1994
HARRIS INVESTORS DIRECT, INC.
July 23, 1990 - April 19, 1994
CAPITAL BROKERAGE CORPORATION
May 12, 1989 - May 9, 1990
BOETTCHER & COMPANY, INC.
January 30, 1989 - April 29, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 25, 1988 - February 21, 1989
L.F. THOMPSON & COMPANY
August 9, 1988 - September 8, 1988
SMITH-THOMAS INVESTMENT SERVICES, INC.
March 22, 1988 - April 5, 1988
FOX & COMPANY INVESTMENTS INC.
March 22, 1988 - July 26, 1988
FINANCIAL ARCHITECTS SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
EHLERT FINANCIAL GROUP, INC.
CRD#: 112150 / SEC#: 801-60528
Contact information
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