Joshua Lee Carlson

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2026-07-17

KS RA
APPROVED

Since 2026-07-17

Branch Locations

One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rolling Meadows	IL	02/2018	07/2026
Home State Bank	Woodstock	IL	11/2017	02/2018
Unemployed	Woodstock	IL	08/2017	11/2017
Great Western Bank	Olathe	KS	05/2016	09/2017
Bank Of America, N.A.	Rolling Meadows	IL	02/2020	07/2026
Ubs Financial Services Inc.	Leawood	KS	07/2026	Present

02/2018 → 07/2026

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL
11/2017 → 02/2018

Home State Bank

Woodstock, IL
08/2017 → 11/2017

Unemployed

Woodstock, IL
05/2016 → 09/2017

Great Western Bank

Olathe, KS
02/2020 → 07/2026

Bank Of America, N.A.

Rolling Meadows, IL
07/2026 → Present

Ubs Financial Services Inc.

Leawood, KS

Previous Registrations

2018-07-13 → 2026-07-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Gilberts, IL

Chicago, IL

Westlake Village, CA

Chicago, IL

Chicago, IL

Chicago, IL

Gilberts, IL

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-12

S66 Uniform Combined State Law Examination

2018-07-12

Other Names

Joshua Carlson
Joshua Lee Carlson

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

FIRST NATIONAL ADVISERS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

TFB ADVISORS, LLC

BEACON WEALTH ADVISORY

FREESTATE ADVISORS LLC

GAUGHAN & CONNEALY WEALTH MANAGEMENT, LLC

Other Investors

COREY RANDALL BIERL

JASON BRETT COLE

JAY PATRICK SIMPSON

MATTHEW JOHN SCHOENFELD

NATHAN DAVID PAULSON

Michael Nathan Paulson

MICHAEL FRANK BACA

THOMAS SCOTT WOODWARD

Other Offices

LPL FINANCIAL LLC · LEAWOOD, KS

LPL FINANCIAL LLC · LEAWOOD, KS

STATE FARM INVESTMENT MANAGEMENT CORP. · Leawood, KS

FIRST NATIONAL ADVISERS, LLC · Overland Park, KS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · OVERLAND PARK, KS

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · OVERLAND PARK, KS

TFB ADVISORS, LLC · OVERLAND PARK, KS

BEACON WEALTH ADVISORY · OVERLAND PARK, KS

More in Leawood, KS

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