Best Investors Account Sign in

Samuel Thomas Carlson

Charles Schwab & Co., Inc.

Phoenix, AZ

Claim This Profile
Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-30
CA RA APPROVED 2021-09-20
  • AZ RA
    APPROVED
    Since 2023-05-30
  • CA RA
    APPROVED
    Since 2021-09-20

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • 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
OrganizationCityStateFromTo
Morgan Stanley Tempe AZ 07/2016 03/2018
Morgan Stanley Private Bank, N.A. New York NY 10/2016 03/2018
Bank Of The West Tempe AZ 06/2018 07/2021
Bancwest Investment Services, Inc. Tempe AZ 06/2018 07/2021
Unemployed Tempe AZ 03/2018 06/2018
Charles Schwab & Co., Inc Phoenix AZ 08/2021 Present
Charles Schwab Bank, Ssb Phoenix AZ 08/2021 Present
  • 07/2016 → 03/2018
    Morgan Stanley
    Tempe, AZ
  • 10/2016 → 03/2018
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 06/2018 → 07/2021
    Bank Of The West
    Tempe, AZ
  • 06/2018 → 07/2021
    Bancwest Investment Services, Inc.
    Tempe, AZ
  • 03/2018 → 06/2018
    Unemployed
    Tempe, AZ
  • 08/2021 → Present
    Charles Schwab & Co., Inc
    Phoenix, AZ
  • 08/2021 → Present
    Charles Schwab Bank, Ssb
    Phoenix, AZ
Previous Registrations
  • 2018-06-20 → 2021-09-08
    Bancwest Investment Services, Inc.
    Tempe, AZ
  • 2016-10-12 → 2018-03-06
    Morgan Stanley
    Tempe, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-17
  • S66 Uniform Combined State Law Examination
    2016-08-17
Other Names
  • Sam Carlson
  • Samuel T Carlson

View on SEC IAPD

Other Firms

EW ADVISER, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
UBS FINANCIAL SERVICES INC.
KESTRA ADVISORY SERVICES, LLC
SMEAD CAPITAL MANAGEMENT, INC.
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED

Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ

More in Phoenix, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor