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Kaitlyn Carlson Subject of Florida Regulatory Action

Kaitlyn Carlson (CRD #: 6075785), a broker formerly registered with UBS Financial Services, has been fined by the State of Florida, according to her BrokerCheck record, accessed on February 20, 2025. If you want to know more about her alleged conduct as a broker, read on.

Florida Regulatory Action

On January 15, 2025, the Florida Office of Financial Regulation ordered Kaitlyn Carlson to cease and desist, alleging that she had rendered investment advice within the state without being registered as an investment adviser by the Office.

The Office also fined her $6,875.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Kaitlyn Carlson has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

She has worked for UBS Financial Services (CRD#:8174) and Putnam Retail Management Limited Partnership (CRD#:7325).

Kurta Law Can Help

If you worked with Kaitlyn Carlson and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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