Albin A. Carlson
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.
Albin Axel Carlson, who also goes by Al Carlson, Albin A Carlson, was a registered financial professional .
Albin is a previously registered financial professional and started their career in finance in 1973. Albin had worked at 12 firms and has passed the Series 63, SIE, PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2005 - May 2, 2019
GLOBALINK SECURITIES, INC.
April 14, 2003 - March 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 11, 2002 - October 31, 2002
WELLS FARGO INVESTMENTS, LLC
March 12, 2002 - October 31, 2002
WELLS FARGO INVESTMENTS, LLC
October 4, 2000 - December 15, 2000
CAL FED INVESTMENTS
January 31, 2000 - November 3, 2000
GLOBALINK SECURITIES, INC.
May 11, 1998 - February 16, 2000
DOMINION INVESTOR SERVICES, INC.
December 19, 1996 - April 6, 1998
WS GRIFFITH SECURITIES, INC.
April 23, 1991 - December 19, 1996
MML INVESTORS SERVICES, LLC
May 29, 1990 - April 30, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 29, 1990 - April 30, 1991
PRUCO SECURITIES, LLC.
April 8, 1986 - June 30, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1985 - March 24, 1986
CETERA WEALTH SERVICES, LLC
April 16, 1973 - September 28, 1978
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 4/20/1985
AMEX Put and Call ExamSeries 1
Date: 3/1/1973
Registered Representative ExaminationCurrent Firm
GLOBALINK SECURITIES, INC.
CRD#: 29721 / SEC#: , 8-44509
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HU, PHILIP CHENGKUO | EXECUTIVE VICE PRESIDENT | 2576527 |
| LIAO, JUNHUA | PRESIDENT /CEO, CCO, AND AMLCO | 4278425 |
| TUNG, YVONNE YI-WEN | SECRETARY | 5202974 |
| FAN, STEVEN | SVP, COMPLIANCE DIRECTOR | 4039972 |
| LIOU, SHIOU-ING DIANE | SHAREHOLDER | 4436524 |
| LU, YUANYUAN | VP, DIRECTOR OF MARKETING | 7602201 |
| SHEN, LAN | SHAREHOLDERS | 4809719 |
| TANG, YING | VP, DIRECTOR OF ACCOUNTING | 6135897 |
| THORNTON, STEVEN LEE | FINOP | 4496384 |
| WANG, ZHUOLI | VP, DIRECTOR OF OPERATION | 6296782 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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