John R. Carlson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Richard Carlson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2003 - January 30, 2024
J.W. COLE FINANCIAL, INC.
January 2, 2001 - January 30, 2024
J. W. COLE ADVISORS, INC.
January 26, 1999 - December 10, 2003
JONATHAN ROBERTS FINANCIAL GROUP, INC.
April 29, 1994 - April 1, 1999
SOUTHERN CAPITAL SECURITIES, INC.
November 24, 1992 - April 19, 1994
CETERA ADVISORS LLC
May 20, 1992 - November 25, 1992
FSC SECURITIES CORPORATION
November 14, 1991 - May 28, 1992
FINANCIAL INFORMATION CENTERS BROKERAGE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
