Unclaimed Profile

Carol Lynn Olson

SANTA BARBARA ASSET MANAGEMENT, LLC·SANTA BARBARA, California

Series 7, Series 24, Series 2722 years registeredSANTA BARBARA ASSET MANAGEMENT, LLC

820 STATE STREET, SANTA BARBARA, CA 93101CRD# 1352968Firm CRD# 138123

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Carol Lynn Olson · SANTA BARBARA, CA

Registration

CRD #1352968 · SANTA BARBARA ASSET MANAGEMENT, LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SANTA BARBARA ASSET MANAGEMENT, LLC

SANTA BARBARA ASSET MANAGEMENT, LLC

Apr 2006 – Nov 2013

SANTA BARBARA, CA

M. L. STERN & CO, LLC.

Jan 2004 – Mar 2006

BEVERLY HILLS, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 27

Registration record

First registered · January 28, 2004

Years registered · 22

Disclosure History

1993Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SANTA BARBARA ASSET MANAGEMENT, LLC

CRD 138123 · SEC 801-65003

AUM

$7.5B

Regulatory assets under management

Employees

2,949 client accounts

Services offered by SANTA BARBARA ASSET MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

View all advisors at SANTA BARBARA ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Carol Lynn Olson offer?

Carol Lynn Olson specializes in Investment Management, Retirement Planning, Wealth Management.

What are Carol Lynn Olson's credentials?

Carol Lynn Olson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Carol Lynn Olson located?

Carol Lynn Olson is based in SANTA BARBARA, California, last registered with SANTA BARBARA ASSET MANAGEMENT, LLC.

How does Carol Lynn Olson charge for services?

Carol Lynn Olson's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANTA BARBARA ASSET MANAGEMENT, LLC?

SANTA BARBARA ASSET MANAGEMENT, LLC has approximately 12 employees and manages $7.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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