Jana Carlson, financial advisor Stockton CA
93 score

Jana Carlson

CRD Number: 1320354
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jana Carlson (CRD# 1320354) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Stockton, CA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stockton, CA Apr 2016 - Current < 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Apr 2016 1
Morgan Stanley Smith Barney Modesto, CA Jun 2009 - Apr 2016 6
Citigroup Global Markets Inc. Modesto, CA Feb 2000 - Apr 2016 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1989
S66 NASAA Uniform Combined State Law Examination Oct 2012
Contact Info for Jana A. Carlson
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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