John Carlson

LPl Financial LLC

CRD 3192750

Claim This Profile

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

Authority	Category	Status	Date
MO	RA	APPROVED	2021-11-19

MO RA
APPROVED

Since 2021-11-19

Branch Locations

Smithville, MO • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Waddell & Reed Inc	Overland Park	KS	03/2002	08/2021
Church Of Jesus Christ Of Latter Day Saints	Platte City	MO	11/2007	01/2019
Lpl Financial Llc	Smithville	MO	11/2021	Present

03/2002 → 08/2021

Waddell & Reed Inc

Overland Park, KS
11/2007 → 01/2019

Church Of Jesus Christ Of Latter Day Saints

Platte City, MO
11/2021 → Present

Lpl Financial Llc

Smithville, MO

Previous Registrations

2015-01-30 → 2021-08-23

Waddell & Reed

Overland Park, KS

Overland Park, KS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-01-30
S63	Uniform Securities Agent State Law Examination	2014-11-04

S65 Uniform Investment Adviser Law Examination

2015-01-30
S63 Uniform Securities Agent State Law Examination

2014-11-04

Other Names

John Jay Carlson

View on SEC IAPD

More in Smithville, MO

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor