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JOHN RICHARD CARLSON
CRD#: 3098410
IA
Investment Adviser
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Previous Broker
WEALTH PLUS OF THE DAKOTAS, INC.CRD#: 287536 815 25th Ave NW
Minot, ND 58703
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2009 (6 years)IAWEALTH PLUS OF THE DAKOTAS, INC. (CRD# 287536)2019 - Present (5 years)IAHENDRICKSON FINANCIAL SERVICES... (CRD# 285986)2017 - Present (7 years)BCAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2002 - 2017 (14 years)BND CAPITAL, INC. (CRD# 23311)2002 - 2004 (2 years)BARM SECURITIES CORPORATION (CRD# 932)2002 - 2003 (1 year)BWADDELL & REED, INC. (CRD# 866)1998 - 2002 (3 years)IAVOYAGER CAPITAL MANAGEMENT, LLC (CRD# 124697)2010 - 2018 (7 years)IACAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2009 - 2018 (9 years)IAWADDELL & REED, INC. (CRD# 866)1999 - 2002 (3 years)
Disclosure(s)
View By:
10/18/2021
Regulatory
Final
11/19/2020
Financial
Final
2/25/2019
Customer Dispute
Award / Judgment
11/9/2015
Customer Dispute
Settled
4/5/2011
Customer Dispute
Settled
4/4/2011
Customer Dispute
Settled
12/16/2010
Customer Dispute
Settled
11/11/2010
Customer Dispute
Settled
9/28/2010
Customer Dispute
Settled
9/24/2010
Customer Dispute
Settled
9/17/2010
Customer Dispute
Settled
6/11/2010
Customer Dispute
Settled
6/1/2010
Customer Dispute
Settled
5/17/2010
Customer Dispute
Settled
3/22/2010
Customer Dispute
Settled
3/4/2010
Customer Dispute
Settled
2/16/2010
Customer Dispute
Settled
11/30/2009
Customer Dispute
Settled
11/23/2009
Customer Dispute
Settled
License(s)

State Registrations

IA
Montana 10/25/2017

IA
North Dakota 7/4/2017

Current Registration(s)
IA
WEALTH PLUS OF THE DAKOTAS, INC. (CRD#:287536)
815 25th Ave NW, Minot, ND 58703
Registered with this firm since 6/7/2019

IA
HENDRICKSON FINANCIAL SERVICES, LLC (CRD#:285986)
Minot, ND
Registered with this firm since 7/4/2017

Previous Registration(s)
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10/04/2010 - 08/06/2018 VOYAGER CAPITAL MANAGEMENT, LLC (CRD#:124697) MINOT, ND
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01/09/2009 - 08/06/2018 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) Minot, ND
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07/25/2002 - 06/22/2017 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) Minot, ND
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06/27/2003 - 08/18/2009 INTEGRITY FUNDS DISTRIBUTOR, INC. (CRD#:26293) MINOT, ND
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12/11/2003 - 04/14/2009 MCSHERRY ANDERSON (CRD#:124697) LAKE GENEVA, WI
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10/03/2002 - 10/01/2004 ND CAPITAL, INC. (CRD#:23311) MINOT, ND
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10/08/2002 - 11/28/2003 ARM SECURITIES CORPORATION (CRD#:932) MINOT, ND
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03/29/1999 - 06/17/2002 WADDELL & REED, INC. (CRD#:866) BISMARCK, ND
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09/15/1998 - 06/17/2002 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
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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.