Jeremy L. 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.
Jeremy Lynn Carlson, who also goes by Jeremy L Carlson, was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2002. Jeremy had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2014 - February 9, 2015
CONTEGO CAPITAL GROUP, INC.
March 29, 2010 - August 15, 2013
OAKWOOD CAPITAL, INC.
September 3, 2008 - August 15, 2013
OAKWOOD CAPITAL SECURITIES, INC.
February 25, 2002 - September 5, 2008
EQUITABLE ADVISORS, LLC
February 5, 2002 - September 5, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
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
Current Firm
CONTEGO CAPITAL GROUP, INC.
CRD#: 128518 / SEC#: 801-113844
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 121 |
| AUM (Assets Under Management) | $ 73,270,000 |
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.
