Roy Neil Carlson | Financial Professional

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.

Roy Neil Carlson was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1996. Roy had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 20, 2019 - March 14, 2021

THE INSTITUTE

RIA

CRD#: 127207

Raleigh, NC

Past

July 3, 2013 - April 30, 2019

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

RALEIGH, NC

Past

June 7, 2004 - June 21, 2013

G. A. REPPLE & COMPANY

RIA

CRD#: 17486

RALIEGH, NC

Past

January 8, 2004 - June 21, 2013

G. A. REPPLE & COMPANY

BD

CRD#: 17486

RALIEGH, NC

Past

April 18, 2002 - November 22, 2002

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

MIAMI, FL

Past

May 18, 2001 - January 2, 2004

SUMMIT BROKERAGE SERVICES, INC.

BD

CRD#: 34643

BOCA RATON, FL

Past

July 11, 1996 - May 21, 2001

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

July 11, 1996 - May 21, 2001

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".

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

Series 63

Date: 1/16/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/17/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

Series 7

Date: 7/10/1996

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/15/2002

General Securities Principal Examination

Current Firm

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

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

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

5

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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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Advisor Monitoring

Firm Stability Insights

Roy N. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSTITUTE FOR WEALTH ADVISORS, INC.

G. A. REPPLE & COMPANY

G. A. REPPLE & COMPANY

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2004

Series 65

Date: 5/17/2001

Series 7

Date: 7/10/1996

Series 24

Date: 5/15/2002

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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