Kenneth 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.
Kenneth Carlson, who also goes by Kenneth Gregory Carlson, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2010. Kenneth had worked at 7 firms and has passed the Series 66, SIE 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
February 28, 2018 - June 17, 2019
TD AMERITRADE, INC.
February 26, 2018 - June 17, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - June 17, 2019
TD AMERITRADE, INC.
August 17, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 1, 2014 - February 26, 2018
SCOTTRADE, INC.
February 4, 2013 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2013 - January 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 2011 - June 7, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
July 6, 2011 - June 7, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
June 8, 2010 - August 16, 2010
EQUITABLE ADVISORS, LLC
April 19, 2010 - August 16, 2010
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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