Brett R. Carlson
Professional summary
Brett Roberts Carlson, who also goes by Brett R Carlson, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Lakewood, Washington.
Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Brett has worked at 2 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brett Roberts Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2013 - Present
NORTHWEST ASSET MANAGEMENT
August 26, 1997 - July 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1996 - July 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/14/2023)
(1/31/2023)
(9/26/2018)
(10/14/2013)
Exams
Current Firm
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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