JC
John A. Carlson
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CRD#: 2804216
JC
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.
John Albin Carlson, CIMA®, who also goes by Jack Carlson, John Albin Carlson Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jack Carlson | John Albin Carlson Jr
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.
I*105541 For-Profit Organization Stonehaven Duplex Investment related: Y Del City, Oklahoma 73115 Family Business, Owner, 5/8/2017 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 A residential rental property with two units. I am responsible as the landlord. Primary tasks include rent collection, maintenance and repair response, and filling vacancies as needed. Local resources support these tasks. I*117571 For-Profit Organization Mountain Metro Properties, LLC Investment related: Y Denver, Colorado 80238 LLC, General Partner, 9/17/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Entity formed to purchase real estate. My responsibilities are as part owner and as strategic asset manager. I*119868 For-Profit Organization Mountain Metro Hospitality LLC Investment related: Y Denver, Colorado 80238 LLC, General Partner, 2/1/2018 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Operating affiliate for Mountain Metro Properties. Purpose is to provide lodging/hospitality services. My role as a General Partner is high-level oversight. A third-party manager and GM run day-to-day operations. I*129722 / 455511 I*455511 For profit or not for profit: Entity For Profit Name of outside business organization: Fall Line Capital LLC Investment related: Y Address of business: Denver, Colorado, 80238 Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 1/1/2020 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Entity formed as Master LLC for estate planning purposes to hold interests in Mountain Metro Properties LLC, and Mountain Metro Hospitality LLC, disclosed private investments, and market securities I*137651 For-Profit Organization Midas Agriculture Ltd Investment related: Y Chiang Mai, 50220 LLC, Family Held, 4/15/2021 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Fall Line Capital, an LLC controlled by PWA John Carlson purchased a greenhouse within an agricultural complex to produce and sell vegetables. Fall Line Capital owns the greenhouse and the equipment and has hired Midas to manage it. I*432256 Entity For Profit Truffle Farms Europe Ltd Investment related: Y Edinburgh, , EH24TP ["Limited Liability Company"] ["Owner"], 6/11/2021 Number of hours devoted: 1 hour(s) Yearly Number of hours devoted during trading hours: 0 My entity Fall Line Capital is purchasing 50 Truffle trees and crop rights from Truffle Farms Ltd (TFE). TFE will harvest and sell the truffles on behalf of Fall Line Capital. I*549260 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: Almancil, , 8135-034 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/15/2021 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: ,
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®
Experience
Past
July 22, 2005 - May 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DENVER, CO
Past
July 1, 2005 - May 2, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DENVER, CO
Past
October 1, 1997 - April 23, 2002
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
January 21, 1997 - October 1, 1997
MONTGOMERY SECURITIES
BD
CRD#: 4357
SAN FRANCISCO, CA
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
