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Brent Erik Carlson

LPl Financial LLC

Albany, OR

CRD 1250085

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2013-03-05
  • OR RA
    APPROVED
    Since 2013-03-05

Branch Locations

Albany, OR • 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
Lpl Financial Llc Redmond OR 03/2013 Present
Previous Registrations
  • 2004-06-03 → 2013-03-06
    Cetera Investment Services Llc
    Redmond, OR
    Bend, OR
    Redmond, OR
    Madras, OR
    Redmond, OR
    The Dalles, OR
Other Businesses

(1) 03/05/2013 - DBA ONLY - EAGLE CREST FINANCIAL SERVICES - 100% OF TIME SPENT- REDMOND, OR

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-01
S63 Uniform Securities Agent State Law Examination 1988-11-11
  • S65 Uniform Investment Adviser Law Examination
    1996-03-01
  • S63 Uniform Securities Agent State Law Examination
    1988-11-11

View on SEC IAPD

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