Steven D. Carlson
Professional summary
Steven Douglas Carlson is a registered financial advisor currently at KEYSTONE WEALTH ADVISORS, INCORPORATED located in Minneapolis, Minnesota.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Steven has worked at 7 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Douglas Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2011 - Present
KEYSTONE WEALTH ADVISORS, INCORPORATED
Office #1: 150 South Fifth Street Suite 3100, Minneapolis, MN 55402May 10, 2010 - December 31, 2010
KEYSTONE WEALTH ADVISORS, INCORPORATED
September 20, 2007 - June 1, 2010
CAPITAL MANAGEMENT ASSOCIATES INC
May 3, 2004 - June 1, 2010
CAPITAL MANAGEMENT SECURITIES, INC.
November 26, 2001 - May 25, 2004
RBC CAPITAL MARKETS, LLC
February 12, 1999 - November 30, 2001
ROBERT W. BAIRD & CO. INCORPORATED
December 10, 1996 - March 3, 1999
CAPITALQUEST SECURITIES, INC.
November 7, 1996 - November 26, 1996
EVEREST SECURITIES, INC.
Primary Firm SEC Registration
KEYSTONE WEALTH ADVISORS, INCORPORATED
CRD#: 153418 / SEC#: 801-71355
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/18/2011)
(1/27/2014)
Exams
Current Firm
KEYSTONE WEALTH ADVISORS, INCORPORATED
CRD#: 153418 / SEC#: 801-71355
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 191,425,402 |
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.
