Steven R. 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.
Steven Ross Carlson, CFP®, who also goes by Steve Carlson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
October 4, 2010 - January 26, 2015
SEIDMAN PRIVATE ADVISORS LLC
September 29, 2010 - February 10, 2015
EAGLE STRATEGIES LLC
July 30, 2010 - February 10, 2015
NYLIFE SECURITIES LLC
May 15, 2002 - January 4, 2008
EQUITABLE ADVISORS, LLC
April 30, 2002 - January 4, 2008
EQUITABLE ADVISORS, LLC
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
SEIDMAN PRIVATE ADVISORS LLC
CRD#: 132337 / SEC#: 801-63417
Contact information
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.
