Katie CarlsonCRD Number: 5055997
Current Firm: Continuum Advisory, LLC
Katie Carlson (CRD# 5055997) is an Investment Advisor Representative working at Continuum Advisory, LLC in Phoenix, AZ and has over 15 years of experience in the finance industry.
Transamerica Financial Advisors, Inc.
Wells Fargo Clearing Services, LLC
Dynamic Wealth Partners, LLC
|Clark Street Financial||Phoenix, AZ||Apr 2021 - Current||< 1|
|Continuum Advisory, LLC||Eagle, ID||Apr 2021 - Current||< 1|
|Silverhawk Asset Management, LLC||Scottsdale, AZ||Jul 2016 - Apr 2021||4|
|Unemployed||Scottsdale, AZ||Apr 2016 - Jul 2016||< 1|
|Raymond James & Associates, Inc.||Chicago, IL||Oct 2015 - Mar 2016||< 1|
|Oppenheimer & Company Inc.||Chicago, IL||Jun 2014 - Nov 2015||1|
|Dr. Benson Yang's Family||Chicago, IL||Dec 2012 - Mar 2014||1|
|Morgan Stanley||Chicago, IL||Jun 2009 - Dec 2012||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management566MILLIONS
Total Number of Accounts6,911ACCOUNTS
Average Account Value$81,897
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AR, AZ, CA, CO, DC, DE, FL, GA, HI, ID, IL, KS, MA, MD, MI, MO, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TX, UT, VA, VT, WA, WI, WY
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