Joseph W. 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.
Joseph Wendell Carlson was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2009. Joseph had worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - January 3, 2025
N4 FINANCIAL, INC.
May 5, 2009 - August 11, 2009
WESTROCK ADVISORS, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
N4 FINANCIAL, INC.
CRD#: 134581 / SEC#: , 8-66849
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
