Michael S. Carlson

CARLSON WEALTH

Omaha, NE 68137

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CRD#: 5928898

Professional summary

Michael Scott Carlson, CFP®, who also goes by Mike Carlson, is a registered financial advisor currently at CARLSON WEALTH, LLC located in Omaha, Nebraska.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike 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.

1) CARLSON TAX AND ACCOUNTING, LLC - PRESIDENT. 2/2010 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE PREPARING TAX RETURNS, PROVIDING TAX CONSULTING AND PREPARING FINANCIAL REPORTS. SPEND 30 HRS/MONTH ON THIS ACTIVITY, 20 HRS/MONTH DURING TRADING HOURS. 11330 Q STREET, SUITE 209, OMAHA, NE 68137. 2) INSURANCE AGENT - 4/2010 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. SPENT APPROX. 2 HRS/MONTH ON THIS ACTIVITY, ALL DURING TRADING HOURS. 11330 Q STREET, SUITE 209, OMAHA, NE 68137. 3) SCATTER JOYS ACRES CHARITY - PRESIDENT OF THE BOARD. 1/2018 TO PRESENT. NOT INVESTMENT RELATED. 4966 NEWPORT AVE., OMAHA, NE 68152. DUTIES INCLUDE ATTENDING BOARD MEETINGS, REVIEWING AND DIRECTING OPERATIONS, PREP FINANCIAL REPORTS AND ASSIST WITH PAYROLL. ANIMAL ASSISTED THERAPY. SPEND APPROX. 4 HRS/MONTH ON THIS ACTIVTY, 2 HRS/MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Carlson's 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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

March 11, 2022 - Present

CARLSON WEALTH, LLC

Office #1: 11330 Q Street Suite 209, Omaha, NE 68137

RIA

CRD#: 318362

Omaha, NE

Past

April 20, 2017 - June 30, 2022

MCMILL CPA AND ADVISORS

RIA

CRD#: 129015

Omaha, NE

Past

April 6, 2015 - April 14, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

OMAHA, NE

Past

April 1, 2015 - April 14, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

OMAHA, NE

Past

December 19, 2012 - April 3, 2015

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

OMAHA, NE

Past

June 3, 2011 - April 3, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

OMAHA, NE

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

Arizona
(5/17/2024)

IAR

Iowa
(3/28/2022)

IAR

Nebraska
(3/11/2022)

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 65

Date: 2/20/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/2/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARLSON WEALTH, LLC

CRD#: 318362 / SEC#:

Arizona

Registered Investment Advisory firm - (5/17/2024 Approved)

Iowa

Registered Investment Advisory firm - (3/28/2022 Approved)

Nebraska

Registered Investment Advisory firm - (1/28/2022 Approved)

Texas

Registered Investment Advisory firm - (12/31/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11330 Q Street Suite 209, Omaha, NE 68137

Mailing Address

Phone number

(402) 999-7513

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	318
AUM (Assets Under Management)	$ 22,052,177

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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Firm Stability Insights

Michael S. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCMILL CPA AND ADVISORS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2012

Series 63

Date: 6/13/2011

SIE

Date: 4/14/2017

Series 7

Date: 7/12/2012

Series 6

Date: 6/2/2011

Current Firm

CARLSON WEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARLSON WEALTH, LLC

TRUST BUT VERIFY

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