Katie Carlson
Katie Carlson is a registered investment advisor at M Holdings Securities, INC., based in Phoenix, AZ, with 14 years of industry experience. Katie operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Retirement Planning. Their firm serves 3,621 clients with $4.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
M Holdings Securities offers various investment management programs with different fee structures. Some programs have wrap fees that cover advisory, brokerage, and custodial services in one fee. Other programs charge advisory fees separately from brokerage and other costs. Fees are negotiable with your financial professional and vary depending on the program chosen and the amount of assets managed. The maximum fee for WealthPursuit Wrap Fee Programs is limited to 3%. MPP Wrap Program fees will not exceed 1.36% for accounts with at least $150,000 in assets. WealthPursuit Prime fees are limited to a maximum rate of 3%.
Location
5090 N. 40th STREET, Suite 180, Phoenix, AZ, 85018
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
February 2016Employment History
Current Registrations
M Holdings Securities, INC.
Previous Registrations
Continuum Advisory, LLC
Silverhawk Asset Management, LLC
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations1 state
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.