Carl 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.
Carl Randy Carlson, who also goes by Carl Randall Carlson, Randy Carlson, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2015 - September 19, 2018
THE O.N. EQUITY SALES COMPANY
June 30, 2006 - October 22, 2013
AMERITAS INVESTMENT COMPANY, LLC
July 31, 1998 - June 30, 2006
CARILLON INVESTMENTS, INC.
May 21, 1996 - April 24, 1998
LOCUST STREET SECURITIES, INC.
October 11, 1995 - November 28, 1995
ROBERT W. BAIRD & CO. INCORPORATED
October 11, 1995 - May 29, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
