HC
Heather M. Carlson
THE RETIREMENT SOLUTION LLC
Redmond, WA 98052
Some features on this profile are disabled
CRD#: 4359310
HC
Professional summary
Heather M Carlson, who also goes by Heather Michelle Carlson, Heather Carlson, Heather Michelle Carlson, is a registered financial advisor currently at THE RETIREMENT SOLUTION LLC located in Redmond, Washington.
Heather is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Heather has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heather Michelle Carlson | Heather Carlson | Heather Michelle Carlson
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) B3 Wealth Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - 11245 SE 6TH ST STE 120, BELLEVUE, WA 98004. - Start 11/10/2016 to Present - 100% Time Spent
(2) B3 Wealth Strategies - Registered Investment Advisor DBA - (hybrid) B3 Wealth Strategies - Investment Related - 11245 SE 6TH ST STE 120, BELLEVUE, WA 98004 - Start 06/2019 - 100% Time Spent.
(3) Insurance Agent - 07/2009 to Present. 11245 SE 6TH ST STE 120, BELLEVUE, WA 98004. Offering insurance products and services to clients. Investment-related.
CRS (Client Relationship Summary) - RIA
Click below to view Heather M 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®
NoneExperience
Current
November 6, 2023 - Present
THE RETIREMENT SOLUTION LLC
Office #1: 18300 Redmond Way Suite 250, Redmond, WA 98052RIA
CRD#: 148106
Redmond, WA
Past
July 2, 2019 - October 12, 2023
B3 WEALTH STRATEGIES
RIA
CRD#: 300689
BELLEVUE, WA
Past
November 10, 2017 - December 31, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
BELLEVUE, WA
Past
November 14, 2016 - October 17, 2019
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
RIA
CRD#: 151298
Bellevue, WA
Past
November 7, 2016 - August 7, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BELLEVUE, WA
Past
June 20, 2002 - November 9, 2016
WADDELL & REED
RIA
CRD#: 866
BELLEVUE, WA
Past
February 15, 2002 - November 9, 2016
WADDELL & REED
BD
CRD#: 866
BELLEVUE, WA
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".
TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
CRD#: 148106 / SEC#: 801-113783
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)California
Registered Investment Advisory firm - (10/10/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)Washington
Registered Investment Advisory firm - (10/10/2018 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.Highlighted states indicate IAR registrations
IAR
Washington(11/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
CRD#: 148106 / SEC#: 801-113783
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)California
Registered Investment Advisory firm - (10/10/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)Washington
Registered Investment Advisory firm - (10/10/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
18300 Redmond Way Suite 250, Redmond, WA 98052
Mailing Address
Phone number
(425) 558-3700
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,888 |
| AUM (Assets Under Management) | $ 573,254,942 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
