Donald Nate Carlson
Professional Summary
Donald Nate Carlson is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Kentwood, Michigan and REGULUS FINANCIAL GROUP, LLC located in Kentwood, Michigan. Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Donald has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
AARON & ASSOCIATES, LLC | WEALTH MANAGERS, LLC | WARBER WEALTH MANAGEMENT | VIP FINANCIAL | TURSI WEALTH MANAGEMENT | TRIDENT WEALTH PARTNERS | TORIMAX FINANCIAL GROUP, INC. | TITANIUM WEALTH ADVISORS, LLC | THIRD WAVE FINANCIAL | THE INVESTMENT CENTER OF ERIE | THE CUNNINGHAM GROUP | THE BURTON GROUP, LLC | SUMMIT FINANCIAL GROUP | STEVEN MICHAEL FINANCIAL GROUP | SIMON FINANCIAL SERVICES | SALUS FINANCIAL GROUP | RIVERBANK WEALTH MANAGEMENT | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | PETERSON FINANCIAL STRATEGIES LLC | OWENS FINANCIAL GROUP, LLC | MUSGRAVE FINANCIAL SOLUTIONS | MICHAEL W. MORRISON, C.F.P | MERCADO FINANCIAL GROUP | LIONSHARE | LENSAK FINANCIAL | LEGACIES TODAY | KUHNDILLONUMBAUGH LLC | JONES WEALTH MANAGEMENT | HORIZON ADVISORS | HOLLAR FINANCIAL GROUP | FORTRESS MEGA, LLC | FOREST FINANCIAL PLANNING GROUP, LLC | FLYNN PLANNING GROUP | FISCHER WEALTH MANAGEMENT | EVERGREEN WEALTH MANAGEMENT, LLC | EFG PLANNING | EAGLE WEALTH CONSULTING, LLC | DURAND CAPITAL PARTNERS, LLC | COVENANT WEALTH ADVISORS | CORY THOMPSON & ASSOCIATES | CORNERSTONE WEALTH ASSOCIATES, LLC | COLD CREEK CAPITAL | CLEARVIEW WEALTH MANAGEMENT | CIRRUS RETIREMENT SOLUTIONS | CANBY GROVE CAPITAL | BRICK WEALTH MANAGEMENT | BETTRLIFE FINANCIAL SERVICES | BARRON FINANCIAL GROUP, LLC | BAILLEY GROUP WEALTH MANAGEMENT | BACE FINANCIAL | B&B ADVISOR GROUP | ADAMS & MCREYNOLDS, LLP
Contact Information
Main Address
2687 44th Street Se, Kentwood, MI 49512Phone Number
(616) 224-2204# of Employees
131SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
13,473AUM (Assets Under Management)
$2,877,296,720Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | Cover Page | Report |
| 12/06/2023 | Cover Page | Report |
| 12/06/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
AARON & ASSOCIATES, LLC | WEALTH MANAGERS, LLC | WARBER WEALTH MANAGEMENT | VIP FINANCIAL | TURSI WEALTH MANAGEMENT | TRIDENT WEALTH PARTNERS | TORIMAX FINANCIAL GROUP, INC. | TITANIUM WEALTH ADVISORS, LLC | THIRD WAVE FINANCIAL | THE INVESTMENT CENTER OF ERIE | THE CUNNINGHAM GROUP | THE BURTON GROUP, LLC | SUMMIT FINANCIAL GROUP | STEVEN MICHAEL FINANCIAL GROUP | SIMON FINANCIAL SERVICES | SALUS FINANCIAL GROUP | RIVERBANK WEALTH MANAGEMENT | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | PETERSON FINANCIAL STRATEGIES LLC | OWENS FINANCIAL GROUP, LLC | MUSGRAVE FINANCIAL SOLUTIONS | MICHAEL W. MORRISON, C.F.P | MERCADO FINANCIAL GROUP | LIONSHARE | LENSAK FINANCIAL | LEGACIES TODAY | KUHNDILLONUMBAUGH LLC | JONES WEALTH MANAGEMENT | HORIZON ADVISORS | HOLLAR FINANCIAL GROUP | FORTRESS MEGA, LLC | FOREST FINANCIAL PLANNING GROUP, LLC | FLYNN PLANNING GROUP | FISCHER WEALTH MANAGEMENT | EVERGREEN WEALTH MANAGEMENT, LLC | EFG PLANNING | EAGLE WEALTH CONSULTING, LLC | DURAND CAPITAL PARTNERS, LLC | COVENANT WEALTH ADVISORS | CORY THOMPSON & ASSOCIATES | CORNERSTONE WEALTH ASSOCIATES, LLC | COLD CREEK CAPITAL | CLEARVIEW WEALTH MANAGEMENT | CIRRUS RETIREMENT SOLUTIONS | CANBY GROVE CAPITAL | BRICK WEALTH MANAGEMENT | BETTRLIFE FINANCIAL SERVICES | BARRON FINANCIAL GROUP, LLC | BAILLEY GROUP WEALTH MANAGEMENT | BACE FINANCIAL | B&B ADVISOR GROUP | ADAMS & MCREYNOLDS, LLP
State Registrations and Notice Filings
(4/29/2024)
(4/29/2024)
(1/11/2024)
(2/5/2024)
(2/7/2014)
(6/28/2024)
(2/5/2024)
(4/29/2024)
(2/19/2014)
(2/18/2014)
(6/28/2024)
(2/5/2024)
(10/21/2014)
(1/7/2011)
(1/13/2014)
(2/5/2024)
(2/5/2024)
(2/5/2024)
(1/9/2024)
(2/10/2014)
(1/11/2024)
(6/28/2024)
(2/5/2024)
(2/25/2014)
(1/13/2021)
(4/7/2025)
(1/28/2014)
(7/9/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1999About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Donald Nate Carlson's CRS (Customer Relationship Summary).
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