TC
Thomas J. Carlson
WEDBUSH SECURITIES
Oakdale, MN
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CRD#: 5940999
TC
Professional summary
Thomas Jeffrey Carlson, who also goes by Tomm Carlson, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Oakdale, Minnesota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 52, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tomm 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) NAME: SENIOR LIVING MUSIC; NOT INVESTMENT RELATED; WOODBURY, MN; START: 06/2017; SELF EMPLOYED - SOLE PROPRIETOR; APPROX 2 HOURS PER MONTH; DUTIES: PROVIDING ENTERTAINMENTAND PRINTED NOVELTIES TO SENIOR LIVING COMMUINITIES AND ONLINE, LOCAL SHOPS. (2) NAME: DOORDASH INC.; NOT INVESTMENT RELATED; SAN FRANCISCO, CA; FOOD DELIVERY; DRIVER; CONTRACTOR; START 9/1/2019; APPROX: 20 HOURS YEARLY; DUTIES: FOOD DELIVERY. (3) Name: UBER; Not Investment related; Minneapolis, MN; Conducting delivery via app.; Delivery/Driver; start date: 01/29/2024; Approx: 10 Monthly, 0 hours during business hours; Duties: Conducting delivery via app. (4) Community Auctions; Not Investment related; Hot Springs, AR; Non-profit - LLC; Helper; Start date: 04/19/2024; Approx: 15 hours quarterly, 0 hours during business hours; Duties: Helping set up tables (5) CookUnity; Not Investment related; Saint Paul, MN; Corporation; Assist with Logistics; Start date: 2/13/2025; 3 hours monthly, 0 hours during business hours; Duties: Assist with logistics, route plan and delivery. (6) Local Theatre Publicity; Not Investment related; Saint Paul, MN; Sole proprietorship, entertainment; Self-employed; 2/13/2025; 2 hours monthly, 0 hours during business hours; Assisting local stage theatre productions, high schools and college productions to increase attendance.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Jeffrey Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Jeffrey 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®
NoneExperience
Current
September 27, 2022 - Present
WEDBUSH SECURITIES INC.
RIA
BD
CRD#: 877
Oakdale, MN
Current
September 27, 2022 - Present
WEDBUSH SECURITIES INC.
RIA
BD
CRD#: 877
Oakdale, MN
Past
July 26, 2017 - September 26, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
July 26, 2017 - September 26, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
January 6, 2015 - July 19, 2017
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAINT PAUL, MN
Past
January 6, 2015 - July 19, 2017
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
November 22, 2013 - December 31, 2014
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MINNEAPOLIS, MN
Past
November 15, 2013 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MINNEAPOLIS, MN
Past
July 31, 2013 - November 29, 2013
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
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".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/27/2022)
IAR
California(9/27/2022)
RR
Minnesota(9/27/2022)
IAR
Minnesota(9/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/16/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
