Steven Gustaf Carlson

Current Employers

B.B. Graham & Company, Inc.

1700 W. Katella Ave., Orange, CA 92867 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2024-04-16

MA RA
APPROVED

Since 2024-04-16

Branch Locations

Falmouth, MA • 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
Crown Capital Securities	Orange	CA	07/2002	03/2024
Carlson Financial	Falmouth	MA	03/2004	11/2022
Bb Graham & Company	Orange	CA	03/2024	Present

07/2002 → 03/2024

Crown Capital Securities

Orange, CA
03/2004 → 11/2022

Carlson Financial

Falmouth, MA
03/2024 → Present

Bb Graham & Company

Orange, CA

Previous Registrations

2009-08-03 → 2024-03-14

Crown Capital Securities, L.P.

Falmouth, MA
2004-08-20 → 2009-06-26

Financial Management Solutions, Llc

Falmouth, MA
1994-04-14 → 2006-12-31

Bts Asset Management, Inc.

Lexington, MA

Other Businesses

Business Name: Falmouth Real Estate Investment related: No Address: 26 Miami Ave, Falmouth, MA 02540 Nature of Business: Real estate sales Position/Title: Real Estate Agent Start date: 6/2006 Hours/month: 10 Hrs per month total (5 during market hours ) Duties: Perform real estate transactions in agent capacity

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-05-10
S63	Uniform Securities Agent State Law Examination	1992-03-20

S65 Uniform Investment Adviser Law Examination

1995-05-10
S63 Uniform Securities Agent State Law Examination

1992-03-20

View on SEC IAPD