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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

STEVEN JOHN CARLSON

Advisor at OSAIC INSTITUTIONS, INC.

Coon Rapids, MN | St. Michael, MN | Blaine, MN | Elk River, MN | St. Cloud, MN

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Search this name across graphsid dfx:ria:b60e6a4a-2d27-b08b-766b-0969bbf0279b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC INSTITUTIONS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 23, 2006
First registration: Jun 28, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 3263340

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 1, 2016	n/a	yes	Elk River, MN\|Coon Rapids, MN\|Blaine, MN\|St. Cloud, MN\|St. Michael, MN	Current employment
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Jul 7, 2014	Jul 1, 2016	no	Coon Rapids, MN\|Princeton, MN\|NAPA, CA\|Blain, MN	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 7, 2013	Jul 24, 2014	no	COON RAPIDS, MN	Previous registration
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Dec 5, 2006	Oct 29, 2013	no	COLUMBUS, OH	Previous registration
NATIONWIDE INVESTMENT SERVICES CORPORATION	n/a	Jun 28, 2006	Dec 5, 2006	no	WAUSAU, WI\|COLUMBUS, OH\|DUBLIN, OH\|CLEARWATER, MN\|RICE, MN\|SCHOFIELD, WI\|DUBLIN, OH\|COLUMBUS, OH\|SANTA FE, NM\|YORK, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ESSEX NATIONAL SECURITIES, INC.	OSAIC INSTITUTIONS, INC.	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
SECURITIES AMERICA ADVISORS, INC.	ESSEX NATIONAL SECURITIES, INC.	Jul 24, 2014	Jul 7, 2014	-17	Firm change	Other
NATIONWIDE INVESTMENT ADVISORS, LLC	SECURITIES AMERICA ADVISORS, INC.	Oct 29, 2013	Nov 7, 2013	9	Firm change	Other
NATIONWIDE INVESTMENT SERVICES CORPORATION	NATIONWIDE INVESTMENT ADVISORS, LLC	Dec 5, 2006	Dec 5, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Jul 1, 2016 to presentfactForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Jul 7, 2014 to Jul 1, 2016factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 7, 2013 to Jul 24, 2014factForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 5, 2006 to Oct 29, 2013factForm ADV
→ NATIONWIDE INVESTMENT SERVICES CORPORATIONRegistered adviserregistration: previous registration
Jun 28, 2006 to Dec 5, 2006factForm ADV

Dated events

No dated event names this entity yet.