NC
Nicholas P. Carlson
METLIFE INVESTORS DISTRIBUTION COMPANY
Chicago, IL 60603
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CRD#: 5957861
NC
Professional summary
Nicholas Paul Carlson is a registered financial professional currently at METLIFE INVESTORS DISTRIBUTION COMPANY located in Chicago, Illinois.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Paul 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
June 30, 2016 - Present
METLIFE INVESTORS DISTRIBUTION COMPANY
Office #1: 10 South Lasalle Street Suite 3350, Chicago, IL 60603BD
CRD#: 107622
Chicago, IL
Past
July 30, 2013 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHICAGO, IL
Past
August 31, 2011 - September 26, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BLOOMINGTON, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/30/2016)
RR
Arizona(6/30/2016)
RR
California(6/30/2016)
RR
District of Columbia(6/30/2016)
RR
Florida(6/30/2016)
RR
Hawaii(6/30/2016)
RR
Illinois(6/30/2016)
RR
Iowa(6/30/2016)
RR
Minnesota(6/30/2016)
RR
Montana(6/30/2016)
RR
Nebraska(6/30/2016)
RR
Nevada(6/30/2016)
RR
New Hampshire(6/30/2016)
RR
New Mexico(6/30/2016)
RR
New York(6/30/2016)
RR
North Carolina(6/30/2016)
RR
North Dakota(6/30/2016)
RR
Oklahoma(6/30/2016)
RR
Oregon(6/30/2016)
RR
Rhode Island(6/30/2016)
RR
South Dakota(6/30/2016)
RR
Utah(6/30/2016)
RR
Vermont(6/30/2016)
RR
Washington(6/30/2016)
RR
Wyoming(6/30/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
METLIFE INVESTORS DISTRIBUTION COMPANY
AMERICAN DISTRIBUTORS, INC. | METLIFE INVESTORS DISTRIBUTION COMPANY | GENERAL AMERICAN DISTRIBUTORS, INC.
CRD#: 107622 / SEC#: , 8-53064
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Park Avenue 4th Floor, New York City, NY 10166
Mailing Address
200 Park Avenue 4th Floor, New York City, NY 10166
Phone number
(973) 355-4954
Established
Missouri since 10/03/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, LLC | SHAREHOLDER | |
| ALPHONSO-NAPOLI, GEETA MARCELI | LEGAL OFFICER | 4518655 |
| FRADKIN, GEOFFREY ANDREW | VICE PRESIDENT | 5473381 |
| GOOD, JESSICA TERESE | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT AND CEO | 5741973 |
| GRUPPUSO, PETER | ASSISTANT VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2643834 |
| KUCHINSKY, ALEXIS NATALIE | CHIEF COMPLIANCE OFFICER | 4343809 |
| LOPEZ, GABRIEL ADOLPH | DIRECTOR AND SENIOR VICE PRESIDENT | 2554216 |
| MCDERMOTT, MICHAEL | DIRECTOR, SENIOR VICE PRESIDENT | 5577809 |
| SCHUSTER, THOMAS JAMES | DIRECTOR, SENIOR VICE PRESIDENT | 4570334 |
| SMITH-WALL, ANIKA AYANNA-NJERI | DIRECTOR, VICE PRESIDENT | 7414359 |
Disclosures
| Regulatory Event | 1 |
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.
