John Charles Carlson

Current Employers

Westend Advisors, Llc

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-03-02
NC	RA	APPROVED	2022-03-02

NY RA
APPROVED

Since 2022-03-02
NC RA
APPROVED

Since 2022-03-02

Branch Locations

Brooklyn, NY • United States

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203 • 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
State Street Bank And Trust	Boston	MA	07/2012	01/2017
State Street Global Advisors Funds Distributors Llc	New York	NY	07/2012	09/2018
State Street Global Advisors Trust Company	New York	NY	01/2017	09/2018
Westend Advisors	Charlotte	NC	10/2018	Present
Victory Capital Services, Inc	Brooklyn	OH	01/2022	Present

07/2012 → 01/2017

State Street Bank And Trust

Boston, MA
07/2012 → 09/2018

State Street Global Advisors Funds Distributors Llc

New York, NY
01/2017 → 09/2018

State Street Global Advisors Trust Company

New York, NY
10/2018 → Present

Westend Advisors

Charlotte, NC
01/2022 → Present

Victory Capital Services, Inc

Brooklyn, OH

Previous Registrations

2018-10-25 → 2022-02-01

Westend Advisors, Llc

Charlotte, NC

Other Businesses

Rental Property; Real Estate Investing; 2862 Stowe Hollow Rd, Stowe VT 05672; Owner of the house; 10/1/2024; no hours spent per month; Will list on AirBnB, VRBO, and local rental website. Have property manager and rental manager to handle all the aspects of the rental.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2023-05-13
S65	Uniform Investment Adviser Law Examination	2018-10-25

S63 Uniform Securities Agent State Law Examination

2023-05-13
S65 Uniform Investment Adviser Law Examination

2018-10-25

View on SEC IAPD