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Detailed Report
ALAN LLOYD CARLSON
CRD#: 2754891
IA
Investment Adviser
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Previous Broker
UNITED ADVISORS AMERICACRD#: 147350 St. Paul, MN
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAUNITED ADVISORS AMERICA (CRD# 147350)2019 - Present (5 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2012 - 2019 (7 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2011 (<1 year)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2010 - 2011 (<1 year)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)2002 - 2010 (7 years)BMARQUETTE FINANCIAL GROUP, INC. (CRD# 345)1996 - 2002 (5 years)IAU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2013 - 2019 (5 years)
License(s)

State Registrations

IA
Minnesota 7/3/2019
Current Registration(s)
IA
UNITED ADVISORS AMERICA (CRD#:147350)
St. Paul, MN
Registered with this firm since 7/3/2019
Previous Registration(s)
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 07/05/2013 - 05/02/2019 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
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 01/13/2012 - 05/02/2019 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
B
 01/03/2011 - 07/27/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) MINNEAPOLIS, MN
B
 11/29/2010 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MINNEAPOLIS, MN
B
 04/01/2002 - 02/02/2010 H.D. VEST INVESTMENT SERVICES (CRD#:13686) ST PAUL, MN
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 07/15/1996 - 04/01/2002 MARQUETTE FINANCIAL GROUP, INC. (CRD#:345) MINNEAPOLIS, MN
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www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.