Carl Carlson has been Chief Executive Officer of Carlson & Company Financial Services since April 2018, is a control person of the firm and directly owns under 5% of it.
Carlson & Company Financial Services, LLC is a Topeka, KS firm with $632M under management, 1,097 clients and 10 advisers across 5 offices, as of its March 2026 filing.
Carl Carlson’s longest registration is the current one, 8 years at Carlson & Company Financial Services since 2018. Before joining Carlson & Company Financial Services in 2022, Carl Carlson was registered through Global Financial Private Capital, LLC.
- Global Financial Private Capital, LLC– · 7 yearsTopeka, KS · Adviser representative · Firm CRD 132070
Investment adviser representative registrations
Carl Carlson is registered as an investment adviser representative in 3 states. Each was approved in January 2022.
- ColoradoSince 12 January 2022
- KansasSince 12 January 2022
- VirginiaSince 12 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 July 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 July 2010 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 26 June 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Carl R Carlson
- CRD
- 5802320
- Firm
- Carlson & Company Financial Services · CRD 295907
- Role
- Chief Executive Officer
- Office
- 1201 SW OAKLEY AVENUE, Topeka, KS 66604
- Registration
- Investment adviser registration
- In the industry since
- April 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Carl Carlson work?
Carl Carlson has been Chief Executive Officer of Carlson & Company Financial Services, LLC since April 2018, and is a control person of the firm.
Is Carl Carlson a financial advisor?
Yes. Carl Carlson has a current investment-adviser registration in Colorado, Kansas and Virginia, through Carlson & Company Financial Services since January 2022.
How many years of experience does Carl Carlson have?
Carl Carlson has 14 years in the financial industry, since April 2012, across 2 adviser firms.
What exams has Carl Carlson passed?
Carl Carlson has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in June 2010.
Where did Carl Carlson work before Carlson & Company Financial Services?
Before Carlson & Company Financial Services, Carl Carlson was registered through Global Financial Private Capital, LLC, April 2012 to May 2019.
Where is Carl Carlson based?
Carl Carlson’s registered office is in Topeka, KS.
Is Carl Carlson registered with FINRA?
No. Carl Carlson has no current broker registration.
How can I verify Carl Carlson’s record?
Search CRD 5802320 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carl Carlson’s full registration record.