Neal D. Carlson

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

Houston, TX 77024

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CRD#: 4985231

Professional summary

Neal David Carlson, who also goes by Neal D Carlson, Neal Carlson, Neal Carlson, is a registered financial advisor currently at FORTHRIGHT FAMILY WEALTH ADVISORY LLC located in Houston, Texas.

Neal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Neal has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neal D Carlson | Neal Carlson | Neal 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.

LICENSED INSURANCE AGENT - CONDUCTED DURING BUSINESS HOURS FOR CERTAIN ADVISORY CLIENTS. RECEIVE COMMISSIONS WHEN POLICIES SOLD.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal David Carlson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 13, 2019 - Present

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

Office #1: 825 Town & Country Ln. 12th Fl., Houston, TX 77024

RIA

CRD#: 304547

Houston, TX

Past

February 1, 2016 - September 25, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

February 1, 2016 - September 25, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

July 16, 2014 - February 26, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

HOUSTON, TX

Past

May 14, 2014 - February 26, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

HOUSTON, TX

Past

October 24, 2006 - June 11, 2014

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

CRD#: 304547 / SEC#: 801-117159

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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

Texas
(8/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/13/2006

National Commodity Futures Examination

Current Firm

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

CRD#: 304547 / SEC#: 801-117159

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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Contact information

Main Address

825 Town & Country Ln. 12th Fl., Houston, TX 77024

Mailing Address

Phone number

(713) 510-3510

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORTHRIGHT ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	228
AUM (Assets Under Management)	$ 202,634,351

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.

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Advisor Monitoring

Firm Stability Insights

Neal D. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal David Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2006

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2006

Series 3

Date: 10/13/2006

Current Firm

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORTHRIGHT FAMILY WEALTH ADVISORY LLC

TRUST BUT VERIFY

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