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Devon J. Carlson

Some features on this profile are disabled
CRD#: 2875123
DC

Professional summary

Devon Jerrod Carlson was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Devon is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Devon had worked at 1 firm, which includes WADDELL & REED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Devon Jerrold Carlson

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

December 1, 1997 - May 11, 2007

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

May 23, 1997 - May 11, 2007

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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
IAR
Series 65
Date: 10/20/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/1/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/1997
General Securities Representative Examination

Current Firm

W&
WADDELL & REED
WADDELL & REED | WADDELL & REED, INC.

CRD#: 866 / SEC#: 801-16720, 8-27030

BD
Terminated by SEC on 12/18/2021
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Contact information

Main Address
6300 Lamar Avenue, Overland Park, KS 66202-4200
Mailing Address
Phone number
Established
Delaware since 08/11/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

ADVISORY SERVICES BROCHURE - CHOICE MAP (3/31/2021)
ADVISORY SERVICES BROCHURE - MAP LATITUDE (3/31/2021)
ADVISORY SERVICES BROCHURE - MAPDIRECT (3/31/2021)
ADVISORY SERVICES BROCHURE - CLASSIC MAP (3/31/2021)
ADVISORY SERVICES BROCHURE - ERISA RETIREMENT PLAN SERVICES (3/31/2021)
ADVISORY SERVICES BROCHURE - FINANCIAL PLANNING (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
WADDELL & REED FINANCIAL SERVICES, INC.SHAREHOLDER
AUDETTE, MATTHEW JONPRESIDENT AND CHAIRMAN OF THE BOARD4003349
DALEY, MICHAEL JOHNVP AND FINANCIAL AND OPERATIONS PRINCIPAL6923129
HANSEN, ELIZABETH ANNSVP AND CHIEF COMPLIANCE OFFICER2199658
HORAN-ADAMS, KIRBY LEPAKEXECUTIVE VICE PRESIDENT5097259
KRAMPER, MATTHEW SCOTTVP AND PRINCIPAL OPERATIONS OFFICER2750651
MIHAL, SHAWN MICHAELEXECUTIVE VICE PRESIDENT3262384
MITCHELL, CHRISTOPHER MILLSASSISTANT TREASURER2420144
OROSCHAKOFF, MICHELLEVICE-CHAIRMAN OF THE BOARD2403199
SIMONICH, BRENT BLAINTREASURER3254859

Disclosures

Regulatory Event29
Civil Event1
Arbitration11
Bond3

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

WADDELL & REED

CRD#: 866

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