Rick S. Carlson
Professional summary
Rick Shawn William Carlson is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in S Elgin, Illinois.
Rick is registered as a RR (Registered Representative) and started their career in finance in 2002. Rick has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rick Shawn William Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2005 - Present
FORTUNE FINANCIAL SERVICES, INC.
Office #1: 358 Cornwall Dr, S Elgin, IL 60177March 20, 2002 - September 28, 2005
WADDELL & REED
February 11, 2002 - September 28, 2005
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/29/2005)
Exams
FINRA
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
