John R. Carlsen
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.
John Randall Carlsen, who also goes by John R Carlsen, John Carlsen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 5 firms and has passed the Series 63, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2008 - October 26, 2012
D.H. HILL SECURITIES, LLLP
January 15, 2007 - November 6, 2007
FORTUNE FINANCIAL SERVICES, INC.
February 11, 2000 - December 31, 2004
MUTUAL SERVICE CORPORATION
August 31, 1983 - February 11, 2000
LINCOLN INVESTMENT
October 12, 1982 - August 29, 1984
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/8/1977
Registered Representative ExaminationCurrent Firm
D.H. HILL SECURITIES, LLLP
CRD#: 41528 / SEC#: , 8-49475
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
