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John Carlson

Independent Financial Group, LLC
40 Years of Experience
Los Angeles, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
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John Carlson is a registered investment advisor at Independent Financial Group, LLC, based in Los Angeles, CA, with 40 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 26,635 clients with $13B in assets under management.

Independent Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
541 advisors
Number of Clients
26,635 clients
Average Client Portfolio
$485K average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5M+2.00%

Maximum advisor fee is shown; program fees (0.04% to 0.16%) and transaction charges may apply depending on the selected program. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Los Angeles, CA

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2004
Settled
Customer Dispute
January 2004
Settled
Customer Dispute
March 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John is the 100% owner of Carlson Wealth Management, a DBA used for marketing purposes, and spends more than full-time on it. He is also a California insurance agent offering various types of insurance products, dedicating a few hours per week.

Employment History
Current Registrations
Independent Financial Group, LLCBroker
July 2010 - Present · 16 yrs 3 mos
Independent Financial Group, LLC
July 2010 - Present · 16 yrs 3 mos
Previous Registrations
Wells Fargo Investments, LLC
July 2001 - June 2010 · 8 yrs 11 mos
Wells Fargo Investments, LLCBroker
July 2001 - June 2010 · 8 yrs 11 mos
Wells Fargo Van Kasper, LLCBroker
April 1998 - July 2001 · 3 yrs 3 mos
Smith Barney INC.Broker
May 1994 - March 1998 · 3 yrs 10 mos
Prudential Securities IncorporatedBroker
December 1991 - May 1994 · 2 yrs 5 mos
Painewebber IncorporatedBroker
December 1988 - December 1991 · 3 yrs
First American National Securities, INC.Broker
January 1986 - December 1988 · 2 yrs 11 mos
State Registrations5 states
AZCAFLNYOR
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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