SC
Steven A. Carl
MADISON INVESTMENT ADVISORS
MADISON, WI 53711
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CRD#: 2749848
SC
Professional summary
Steven Allan Carl is a registered financial advisor currently at MADISON INVESTMENT ADVISORS, LLC located in Madison, Wisconsin and MFD DISTRIBUTOR, LLC located in Madison, Wisconsin.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 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.
The registered representative is employed by member's affiliated investment advisory firm, Madison Investment Holdings, Inc., 550 Science Drive, Madison, WI 53711 and provides services to its affiliated investment adviser firms, including Madison Investment Advisors, LLC, Madison Asset Management, LLC and Hansberger Growth Investors, LP. See item 12 for information regarding start date and position held. Approximately 155-165 hours per month are devoted to these activities and are generally held during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Allan Carl'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®
NoneExperience
Current
January 26, 2011 - Present
MADISON INVESTMENT ADVISORS, LLC
Office #1: 550 Science Drive, Madison, WI 53711RIA
CRD#: 110297
MADISON, WI
Current
August 12, 2003 - Present
MFD DISTRIBUTOR, LLC
Office #1: 550 Science Drive, Madison, WI 53711Office #2: 550 Science Drive, Madison, WI 53711BD
CRD#: 44930
MADISON, WI
Past
July 1, 2013 - September 30, 2016
NORTHROAD CAPITAL MANAGEMENT LLC
RIA
CRD#: 120865
MADISON, WI
Past
August 13, 2003 - December 31, 2011
MADISON INVESTMENT HOLDINGS, INC
RIA
CRD#: 110356
MADISON, WI
Past
May 1, 2001 - July 24, 2003
STRONG CAPITAL MANAGEMENT INC
RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past
June 29, 2000 - July 24, 2003
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
Past
July 31, 1999 - July 19, 2000
ALIGHT FINANCIAL SOLUTIONS, LLC
BD
CRD#: 36509
CHICAGO, IL
Past
August 6, 1996 - June 7, 1999
STRONG INVESTMENTS, INC.
BD
CRD#: 15658
MENOMONEE FALLS, WI
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".
MI
MADISON INVESTMENT ADVISORS, LLC
MADISON INVESTMENT ADVISORS, LLC | MOSAIC FUNDS | MADISON SCOTTSDALE | MADISON MOSAIC LLC | MADISON MOSAIC FUNDS
CRD#: 110297 / SEC#: 801-52751
RIA
Registered Investment Advisory firm - (8/29/1996 Approved)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.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
IAR
Alabama(10/12/2021)
RR
Alabama(5/16/2023)
IAR
Alaska(10/15/2021)
RR
Alaska(5/16/2023)
IAR
Arizona(10/20/2021)
RR
Arizona(5/16/2023)
RR
Arkansas(5/29/2009)
IAR
Arkansas(10/12/2021)
IAR
California(10/13/2021)
RR
California(5/16/2023)
IAR
Colorado(10/12/2021)
RR
Colorado(5/16/2023)
IAR
Connecticut(10/12/2021)
RR
Connecticut(5/16/2023)
IAR
Delaware(10/15/2021)
RR
Delaware(5/16/2023)
RR
District of Columbia(5/16/2023)
IAR
Florida(12/9/2021)
RR
Florida(5/16/2023)
IAR
Georgia(10/13/2021)
RR
Georgia(5/16/2023)
IAR
Hawaii(10/13/2021)
RR
Hawaii(5/16/2023)
IAR
Idaho(10/14/2021)
RR
Idaho(5/16/2023)
RR
Illinois(8/12/2003)
IAR
Illinois(10/18/2021)
RR
Indiana(8/12/2003)
IAR
Indiana(10/12/2021)
RR
Iowa(8/12/2003)
IAR
Iowa(10/12/2021)
IAR
Kansas(10/13/2021)
RR
Kansas(5/16/2023)
IAR
Kentucky(10/14/2021)
RR
Kentucky(5/16/2023)
IAR
Louisiana(10/13/2021)
RR
Louisiana(5/16/2023)
RR
Maine(2/3/2015)
IAR
Maine(10/13/2021)
IAR
Maryland(10/12/2021)
RR
Maryland(5/16/2023)
IAR
Massachusetts(1/25/2022)
RR
Massachusetts(5/16/2023)
RR
Michigan(8/12/2003)
IAR
Michigan(10/14/2021)
RR
Minnesota(8/12/2003)
IAR
Minnesota(10/14/2021)
IAR
Mississippi(10/13/2021)
RR
Mississippi(5/16/2023)
IAR
Missouri(10/12/2021)
RR
Missouri(5/16/2023)
IAR
Montana(10/13/2021)
RR
Montana(5/16/2023)
RR
Nebraska(10/29/2020)
IAR
Nebraska(10/12/2021)
IAR
Nevada(10/19/2021)
RR
Nevada(5/16/2023)
IAR
New Hampshire(10/20/2021)
RR
New Hampshire(5/16/2023)
IAR
New Jersey(10/13/2021)
RR
New Jersey(5/16/2023)
RR
New Mexico(4/30/2009)
IAR
New Mexico(10/13/2021)
IAR
New York(10/12/2021)
RR
New York(5/16/2023)
IAR
North Carolina(10/13/2021)
RR
North Carolina(5/16/2023)
IAR
North Dakota(10/19/2021)
RR
North Dakota(5/16/2023)
IAR
Ohio(10/12/2021)
RR
Ohio(5/16/2023)
IAR
Oklahoma(10/12/2021)
RR
Oklahoma(5/16/2023)
RR
Oregon(9/26/2019)
IAR
Pennsylvania(10/13/2021)
RR
Pennsylvania(5/16/2023)
IAR
Rhode Island(10/18/2021)
RR
Rhode Island(5/16/2023)
IAR
South Carolina(10/18/2021)
RR
South Carolina(5/16/2023)
RR
South Dakota(8/18/2016)
IAR
South Dakota(10/19/2021)
RR
Tennessee(5/16/2023)
RR
Texas(8/18/2016)
IAR
Texas(10/13/2021)
RR
Utah(2/20/2009)
IAR
Utah(10/12/2021)
IAR
Vermont(10/12/2021)
RR
Vermont(5/16/2023)
IAR
Virginia(10/13/2021)
RR
Virginia(5/16/2023)
IAR
Washington(10/20/2021)
RR
Washington(5/16/2023)
IAR
West Virginia(10/13/2021)
RR
West Virginia(5/16/2023)
RR
Wisconsin(8/12/2003)
IAR
Wisconsin(1/26/2011)
IAR
Wyoming(10/18/2021)
RR
Wyoming(5/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MADISON INVESTMENT ADVISORS, LLC
MADISON INVESTMENT ADVISORS, LLC | MOSAIC FUNDS | MADISON SCOTTSDALE | MADISON MOSAIC LLC | MADISON MOSAIC FUNDS
CRD#: 110297 / SEC#: 801-52751
RIA
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Contact information
Main Address
550 Science Drive, Madison, WI 53711
Mailing Address
Phone number
(608) 274-0300
Established
Firm type
Fiscal year end
# of Employees
94
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,949 |
| AUM (Assets Under Management) | $ 13,346,155,459 |
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
MADISON INVESTMENT ADVISORS, LLC
CRD#: 110297Madison, WI 53711TRUST BUT VERIFY
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Contact information
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