Gordon P. Carlson

GORDON CARLSON & ASSOCIATES

Indio, CA

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CRD#: 2585514

Professional summary

Gordon Patrick Carlson, CFP® is a registered financial advisor currently at GORDON CARLSON & ASSOCIATES located in Indio, California.

Gordon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Gordon has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) RESULT$ ADVISORS, INC; 16520 BAKE PARKWAY, STE. 200, IRVINE, CA 92618; REAL ESTATE BROKERAGE; OWNER, 02/2009; 20 HRS/MO, DURING TRADING & NON-TRADING HRS; CORPORATE GOVERNANCE, & OVERSIGHT (2) LIFE AGENT, CA DEPT OF INSURANCE LICENSE #0B92640, LESS THAN 5 HOURS/MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gordon Patrick 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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

August 18, 2009 - Present

GORDON CARLSON & ASSOCIATES

Office #2: 16520 Bake Parkway Suite 200, Irvine, CA 92618

RIA

CRD#: 149891

Indio, CA

Past

September 10, 2009 - November 3, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

IRVINE, CA

Past

August 22, 2007 - August 20, 2009

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

IRVINE, CA

Past

August 25, 2004 - August 20, 2009

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

IRVINE, CA

Past

March 19, 2002 - August 13, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PASADENA, CA

Past

February 20, 2002 - August 13, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 22, 1996 - March 4, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 29, 1995 - August 16, 1996

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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

California
(8/18/2009)

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: 9/18/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/28/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2007

General Securities Principal Examination

Current Firm

GORDON CARLSON & ASSOCIATES

ELM MONEY MANAGEMENT LLC | GORDON CARLSON & ASSOCIATES

CRD#: 149891 / SEC#: 801-70452

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

California

Registered Investment Advisory firm - (4/20/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Indio, CA

Mailing Address

Phone number

(949) 528-6712

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 91,017,870

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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Firm Stability Insights

Gordon P. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gordon Patrick Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INTERFIRST CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/1996

Series 63

Date: 4/27/1995

Series 7

Date: 8/28/1995

Series 24

Date: 11/15/2007

Current Firm

GORDON CARLSON & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GORDON CARLSON & ASSOCIATES

TRUST BUT VERIFY

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