Stephen M. Carlson

ASSET PLANNING

Knoxville, TN 37923

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CRD#: 1950548

Professional summary

Stephen Manning Carlson, who also goes by Stephen M Carlson, is a registered financial advisor currently at ASSET PLANNING CORPORATION located in Knoxville, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Stephen has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen M 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) - RIA

Click below to view Stephen Manning Carlson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 30, 2016 - Present

ASSET PLANNING CORPORATION

Office #1: 234 S. Peters Rd. Suite 102, Knoxville, TN 37923

RIA

CRD#: 7890

Knoxville, TN

Past

July 10, 2001 - April 9, 2003

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 1, 1999 - June 4, 2001

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

November 6, 1995 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

January 5, 1995 - November 10, 1995

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

July 15, 1992 - January 12, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

ASSET PLANNING CORPORATION

APC FINANCIAL PLANNING | ASSET PLANNING CORPORATION

CRD#: 7890 / SEC#: 801-11448, 8-23612

RIA

Registered Investment Advisory firm - SEC (4/2/1976 Approved)

Terminated by SEC on 05/30/2003

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(6/30/2016)

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 65

Date: 6/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/14/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/26/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ASSET PLANNING CORPORATION

APC FINANCIAL PLANNING | ASSET PLANNING CORPORATION

CRD#: 7890 / SEC#: 801-11448, 8-23612

RIA

Registered Investment Advisory firm - SEC (4/2/1976 Approved)

Terminated by SEC on 05/30/2003

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Contact information

Main Address

234 S. Peters Rd. Suite 102, Knoxville, TN 37923

Mailing Address

Phone number

(865) 690-1231

Established

Tennessee since 05/06/1975

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET PLANNING CORPORATION DISCLOSURE BROCHURE (8/26/2025)

Direct owners and executive officers

Name	Position	CRD#
FAIN, PAUL KEMP III	PRESIDENT	1790210
FAIN, DONNA J	SECRETARY	1496506
FLETCHER, ANNE SEVERANCE	FINANCIAL ADVISER	3003090

Regulatory assets under management

Total Number of Accounts	928
AUM (Assets Under Management)	$ 406,642,405

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/05/2023	Cover Page	Report
12/22/2022	Cover Page	Report

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

Stephen M. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Manning Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

OPPENHEIMER & CO. INC.

FIRST OF MICHIGAN CORPORATION

RONEY & CO. L.L.C.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

ASSET PLANNING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/2016

Series 63

Date: 8/10/1992

Series 7

Date: 7/14/1992

Series 8

Date: 10/26/1993

Current Firm

ASSET PLANNING CORPORATION

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSET PLANNING CORPORATION

TRUST BUT VERIFY

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