Ryan Shane Carlson
Professional Summary
Ryan Shane Carlson is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Eagle, Idaho. Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ryan has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 31, Series 7, Series 14, Series 28 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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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Contact Information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616Mailing Address
Po Box 579, Eagle, ID 83616Phone Number
(208) 489-3131Established
Idaho since 12/30/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
49SEC notice filing (49 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
FINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 49 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
4,385AUM (Assets Under Management)
$986,332,007Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
State Registrations and Notice Filings
(5/13/2014)
(11/6/2014)
(4/8/2008)
(8/19/2009)
(6/28/2006)
(2/14/2006)
(8/4/2009)
(8/4/2009)
(8/6/2009)
(11/2/2010)
(3/2/2010)
(3/4/2010)
(3/2/2010)
(3/3/2010)
(4/11/2008)
(8/19/2005)
(10/18/2005)
(8/4/2009)
(3/29/2006)
(8/6/2009)
(8/4/2009)
(9/4/2018)
(9/13/2013)
(3/2/2010)
(3/2/2010)
(4/1/2009)
(8/4/2009)
(11/21/2005)
(8/4/2009)
(8/4/2009)
(8/6/2009)
(10/26/2020)
(3/2/2010)
(3/2/2010)
(4/17/2017)
(3/3/2010)
(5/1/2019)
(10/17/2006)
(10/17/2006)
(10/24/2005)
(8/4/2009)
(3/22/2012)
(12/8/2015)
(3/2/2010)
(3/8/2010)
(3/2/2010)
(3/4/2010)
(12/19/2005)
(4/8/2008)
(1/4/2012)
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 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2006About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Ryan Shane Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Shane Carlson's CRS (Customer Relationship Summary).
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