Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL SCOTT CARLSON
MIKE CARLSON
CRD#: 5928898
IA
Investment Adviser
B
Previous Broker
CARLSON WEALTH, LLCCRD#: 318362 11330 Q STREET
SUITE 209
OMAHA, NE 68137
Registration History
201220142016201820202022202420262 FIRMS2015 - 2017 (2 years)IACARLSON WEALTH, LLC (CRD# 318362)2022 - Present (3 years)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2015 (3 years)IAMCMILL CPA AND ADVISORS (CRD# 129015)2017 - 2022 (5 years)IAMETLIFE SECURITIES INC. (CRD# 14251)2012 - 2015 (2 years)
License(s)

State Registrations

IA
Arizona 5/17/2024
IA
Nebraska 3/11/2022
IA
Iowa 3/28/2022
Current Registration(s)
IA
CARLSON WEALTH, LLC (CRD#:318362)
11330 Q STREET SUITE 209, OMAHA, NE 68137
Registered with this firm since 3/11/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/20/2017 - 06/30/2022 MCMILL CPA AND ADVISORS (CRD#:129015) Omaha, NE
IA
 04/06/2015 - 04/14/2017 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) OMAHA, NE
B
 04/01/2015 - 04/14/2017 SECURITIES AMERICA, INC. (CRD#:10205) OMAHA, NE
IA
 12/19/2012 - 04/03/2015 METLIFE SECURITIES INC. (CRD#:14251) OMAHA, NE
B
 06/03/2011 - 04/03/2015 METLIFE SECURITIES INC. (CRD#:14251) OMAHA, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.