Thomas Jeffrey Carlson

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2022-09-27

MN RA
APPROVED

Since 2022-09-27

Branch Locations

142 West 57Th Street 12Th Fl, New York, NY 10019 • United States

Oakdale, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
U.S. Bank	Saint Paul	MN	01/2015	07/2017
U.S. Bancorp Investments, Inc.	Saint Paul	MN	01/2015	07/2017
Ameriprise Financial Services Inc	Minneapolis	MN	07/2017	09/2022
Wedbush Securities	Los Angeles	CA	09/2022	Present

01/2015 → 07/2017

U.S. Bank

Saint Paul, MN
01/2015 → 07/2017

U.S. Bancorp Investments, Inc.

Saint Paul, MN
07/2017 → 09/2022

Ameriprise Financial Services Inc

Minneapolis, MN
09/2022 → Present

Wedbush Securities

Los Angeles, CA

Previous Registrations

2017-07-26 → 2022-09-26

Ameriprise Financial Services, Llc

Minneapolis, MN
2015-01-06 → 2017-07-19

U.S. Bancorp Investments, Inc.

Saint Paul, MN

Other Businesses

(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.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-12-11

S66 Uniform Combined State Law Examination

2014-12-11

Other Names

Tomm Carlson

View on SEC IAPD