Katie Carlson, financial advisor Phoenix AZ

Katie Carlson

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Contact Info for Katie M. Carlson
Phone Number: 2084171933
Registered State(s):
  • ID
By the Numbers
  • Total Assets Under Management
    566
    MILLIONS
  • Total Number of Accounts
    6,911
    ACCOUNTS
  • Average Account Value
    $81,897
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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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