BC
Brian J. Carlson
SUMMIT INVESTMENT ADVISORY SERVICES
Roseville, MN 55113
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CRD#: 4210497
BC
Professional summary
Brian Jeremy Carlson, CFP® is a registered financial advisor currently at SUMMIT INVESTMENT ADVISORY SERVICES located in Roseville, Minnesota and LPL FINANCIAL LLC located in Roseville, Minnesota.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 4 firms and has passed the Series 63, 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. Summit Investment Advisors - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 11/4/2020 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Summit Investment Advisors, an independent investment advisor firm. I started this business activity in 11/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. Registered Representative of LPL Financial; Investment Related: Yes; Same Address; Since 06/2008. 3. Insurance Sales; Not Investment Related; Same Address; 10% of time spent per month.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Jeremy 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: 2009
Experience
Current
November 4, 2020 - Present
SUMMIT INVESTMENT ADVISORY SERVICES
Office #1: 3065 Center Pointe Drive Suite 2, Roseville, MN 55113RIA
CRD#: 168594
Roseville, MN
Current
June 9, 2008 - Present
LPL FINANCIAL LLC
Office #1: 3065 Centre Pointe Dr Ste 2, Roseville, MN 55113-1118RIA
BD
CRD#: 6413
Roseville, MN
Past
January 21, 2014 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLOOMINGTON, MN
Past
May 1, 2002 - March 12, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 12, 2000 - May 14, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 12, 2000 - May 14, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SI
SUMMIT INVESTMENT ADVISORY SERVICES
MCDERMOTT, SEAN P | SUMMIT INVESTMENT ADVISORY SERVICES, LLC | SUMMIT INVESTMENT ADVISORY SERVICES, INC. | SUMMIT INVESTMENT ADVISORY SERVICES | SUMMIT INVESTMENT ADVISORS
CRD#: 168594 / SEC#: 801-110650
RIA
Registered Investment Advisory firm - (6/9/2017 Approved)Florida
Registered Investment Advisory firm - (12/21/2017 Terminated)Minnesota
Registered Investment Advisory firm - (12/21/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (12/21/2017 Terminated)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
Arizona(6/20/2023)
RR
Florida(7/3/2019)
RR
Minnesota(6/9/2008)
IAR
Minnesota(11/4/2020)
RR
Wisconsin(6/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SUMMIT INVESTMENT ADVISORY SERVICES
MCDERMOTT, SEAN P | SUMMIT INVESTMENT ADVISORY SERVICES, LLC | SUMMIT INVESTMENT ADVISORY SERVICES, INC. | SUMMIT INVESTMENT ADVISORY SERVICES | SUMMIT INVESTMENT ADVISORS
CRD#: 168594 / SEC#: 801-110650
RIA
Registered Investment Advisory firm - (6/9/2017 Approved)Florida
Registered Investment Advisory firm - (12/21/2017 Terminated)Minnesota
Registered Investment Advisory firm - (12/21/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (12/21/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3065 Center Pointe Drive Suite 2, Roseville, MN 55113
Mailing Address
Phone number
(651) 490-2939
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,251 |
| AUM (Assets Under Management) | $ 632,510,025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
