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Robert A. Carlsson

Some features on this profile are disabled
CRD#: 1974694
RC

Professional summary

Robert Arne Carlsson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Robert had worked at 8 firms, which includes MOODY CAPITAL SOLUTIONS INC, 21 CAPITAL GROUP INC., ADVANCED EQUITIES INC., MADISON SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert A Carlsson

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®
None

Experience

Past

January 11, 2010 - September 29, 2010

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
ALPHARETTA, GA
Past

October 27, 2003 - January 7, 2008

21 CAPITAL GROUP, INC.

BD
CRD#: 128647
CHICAGO, IL
Past

December 21, 1999 - June 27, 2001

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

November 26, 1996 - December 1, 1999

MADISON SECURITIES, INC.

BD
CRD#: 32176
CHICAGO, IL
Past

November 16, 1994 - November 7, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 20, 1993 - November 23, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 7, 1992 - December 23, 1992

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

July 17, 1992 - August 5, 1992

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/8/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/12/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/16/2003
General Securities Principal Examination

Current Firm

MC
MOODY CAPITAL SOLUTIONS, INC
MIDSOUTH CAPITAL MARKETS GROUP | REDCHIP SECURITIES, INC. | PENN CENTER INVESTMENTS, INC. | MOODY CAPITAL SOLUTIONS, INC. | MOODY CAPITAL SOLUTIONS, INC | MOODY CAPITAL SOLUTION, INC.

CRD#: 15989 / SEC#: , 8-32928

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Mailing Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Phone number
(770) 377-3556
Established
Pennsylvania since 10/15/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTH FOUNTAIN HOLDINGS, INC.OWNER
KREGER, RICHARD HENRICEO2647135
LENART, BRIAN DOUGLASFINOP/PFO/POO736107
ROSENSTEIN, ROBERT LLOYDPRESIDENT/CCO2195737

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.

Company Information

MOODY CAPITAL SOLUTIONS, INC

CRD#: 15989

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