Heather Carlson has been an investment adviser representative at The Retirement Solution since November 2023, and is not listed among the firm’s executive officers or direct owners.
The Retirement Solution LLC is a Redmond, WA firm with $699M under management, 824 clients and 15 advisers across 5 offices, as of its May 2026 filing.
Heather Carlson’s longest registration was 14 years at Waddell & Reed (2002–2016). Before joining The Retirement Solution in 2023, Heather Carlson was registered through B3 Wealth Strategies and LPL Financial LLC.
- The Retirement Solution LLCCurrent– present · 2 yearsRedmond, WA · Adviser representative · Firm CRD 148106
- B3 Wealth Strategies– · 4 yearsBellevue, WA · Adviser representative · Firm CRD 300689
- LPL Financial LLC– · 2 yearsBellevue, WA · Adviser representative · Firm CRD 6413
- Financial Advocates Investment Management– · 2 yearsBellevue, WA · Adviser representative · Firm CRD 151298
- Waddell & Reed– · 14 yearsBellevue, WA · Adviser representative · Firm CRD 866
Investment adviser representative registrations
Heather Carlson is registered as an investment adviser representative in Washington, since November 2023.
- WashingtonSince 6 November 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 14 June 2002 |
| Series 7 | General Securities Representative Examination | 14 February 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Heather M Carlson
- CRD
- 4359310
- Firm
- The Retirement Solution · CRD 148106
- Office
- 18300 REDMOND WAY, SUITE 250, Redmond, WA 98052
- Registration
- Investment adviser registration
- In the industry since
- March 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does Heather Carlson work?
Heather Carlson is an investment adviser representative registered through The Retirement Solution LLC since November 2023, and is not listed among the firm’s executive officers or direct owners.
Is Heather Carlson a financial advisor?
Yes. Heather Carlson has a current investment-adviser registration in Washington, through The Retirement Solution since November 2023.
How many years of experience does Heather Carlson have?
Heather Carlson has 24 years in the financial industry, since March 2002, across 5 adviser firms.
What exams has Heather Carlson passed?
Heather Carlson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in February 2002. FINRA credited Heather Carlson with the SIE, which began in October 2018.
Where did Heather Carlson work before The Retirement Solution?
Before The Retirement Solution, Heather Carlson was registered through B3 Wealth Strategies, July 2019 to October 2023; LPL Financial LLC, November 2017 to December 2019; Financial Advocates Investment Management, November 2016 to October 2019; Waddell & Reed, June 2002 to November 2016.
Where is Heather Carlson based?
Heather Carlson’s registered office is in Redmond, WA.
Is Heather Carlson registered with FINRA?
No. Heather Carlson has no current broker registration.
How can I verify Heather Carlson’s record?
Search CRD 4359310 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Heather Carlson’s full registration record.
- Thomas BlackPresident, Financial Planner
- Brian PetraitisChief Compliance Officer
James BlackCEO, Financial Planner