CC
Christopher L. Carlson
U.S. BANCORP ADVISORS
Minneapolis, MN 55402
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CRD#: 2144774
CC
Professional summary
Christopher Lloyd Carlson, CFP®, who also goes by Chris Carlson, Christopher L Carlson, is a registered financial professional currently at U.S. BANCORP ADVISORS, LLC located in Minneapolis, Minnesota.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Carlson | Christopher L 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.
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lloyd 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®
Experience
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 800 Nicollet Mall, Minneapolis, MN 55402RIA
BD
CRD#: 14455
Minneapolis, MN
Past
June 24, 2020 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Minneapolis, MN
Past
June 21, 2006 - June 8, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
MINNEAPOLIS, MN
Past
June 6, 2005 - June 15, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
WOODBURY, MN
Past
January 28, 2004 - June 15, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
WOODBURY, MN
Past
April 2, 1999 - January 30, 2004
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
March 11, 1998 - April 7, 1999
GATEWAY INVESTMENT SERVICES, INC.
BD
CRD#: 31153
OAK PARK, IL
Past
April 1, 1997 - December 22, 1997
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
November 8, 1995 - April 3, 1997
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
November 30, 1993 - August 31, 1995
TCF INVESTMENTS, INC.
BD
CRD#: 34954
MINNEAPOLIS, MN
Past
June 19, 1991 - July 21, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 19, 1991 - July 21, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Minnesota(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
