Steven J. Carlson
OSAIC INSTITUTIONS
Elk River, MN 55330
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CRD#: 3263340
Professional summary
Steven John Carlson, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Elk River, Minnesota.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.) Owner of four single family homes. Homes are rental homes . 10% owner of a 78 unit apartment complex. 2.) Lockleed International, LLC. Not investment related. Placement agency that works with veterans and military spouses. CFO, Owner (24%). Started in Oct 2017. 3.) Champion Properties LLC. Not investment related. I buy and rent out homes and apartments. Owner/Member. Approx 2 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Steven John Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven John Carlson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 17035 Yale Court Nw, Elk River, MN 55330Office #2: 3951 Division St, St. Cloud, MN 56301Office #3: 900 Central Ave. E., St. Michael, MN 55376Office #4: 3380 Northdale Blvd Nw, Coon Rapids, MN 55448Office #5: 10 Northtown Dr Ne, Blaine, MN 55434RIA
BD
CRD#: 35371
Elk River, MN
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 17035 Yale Court Nw, Elk River, MN 55330Office #2: 3951 Division St, St. Cloud, MN 56301Office #3: 900 Central Ave. E., St. Michael, MN 55376Office #4: 3380 Northdale Blvd Nw, Coon Rapids, MN 55448Office #5: 10 Northtown Dr Ne, Blaine, MN 55434RIA
BD
CRD#: 35371
Elk River, MN
Past
July 7, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
Coon Rapids, MN
Past
July 1, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
Coon Rapids, MN
Past
November 7, 2013 - July 24, 2014
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
COON RAPIDS, MN
Past
November 7, 2013 - July 24, 2014
SECURITIES AMERICA, INC.
BD
CRD#: 10205
COON RAPIDS, MN
Past
December 5, 2006 - October 29, 2013
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
June 28, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
RIA
CRD#: 7110
BURNSVILLE, MN
Past
October 31, 2000 - October 29, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
BURNSVILLE, MN
Past
July 29, 1999 - October 27, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(7/1/2016)
IAR
Minnesota(7/1/2016)
RR
Texas(11/13/2020)
IAR
Texas(11/13/2020)
RR
Wyoming(1/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
