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John Richard Carlson

CAPITAL FINANCIAL SERVICES, INC.·MINOT, North Dakota
SIE, Series 4, Series 7, Series 24, Series 27, Series 53, Series 55, Series 6627 years registeredCAPITAL FINANCIAL SERVICES, INC.
#1 MAIN STREET NORTH, MINOT, ND 58703CRD# 3098410Firm CRD# 8408

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John Richard Carlson · MINOT, ND
Registration
CRD #3098410 · CAPITAL FINANCIAL SERVICES, INC. · 27 years registered
Brand Profile
Not yet started
01

Career History

WEALTH PLUS OF THE DAKOTAS, INC.
Jun 2019present
HENDRICKSON FINANCIAL SERVICES, LLC
Jul 2017present
Oct 2010Aug 2018
MINOT, ND
Jan 2009Aug 2018
Minot, ND
Dec 2003Apr 2009
LAKE GENEVA, WI
Mar 1999Jun 2002
BISMARCK, ND
02

Registrations & Exams

FINRA examinations passed
SIE
Series 4
Series 7
Series 24
Series 27
Series 53
Series 55
Series 66
Registration record
First registered · March 29, 1999
Years registered · 27
03

Disclosure History

2021Regulatory·Final
2020Financial·Final
2019Customer Dispute·Award / Judgment
2015Customer Dispute·Settled
2011Customer Dispute·Settled
2011Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2010Customer Dispute·Settled
2009Customer Dispute·Settled
2009Customer Dispute·Settled

19 disclosure events on file · Verify on FINRA BrokerCheck →

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

04

Firm Overview

Firm
CAPITAL FINANCIAL SERVICES, INC.
CRD 8408 · SEC 801-24253
AUM
$213M
Regulatory assets under management
Employees
81
1,816 client accounts
Services offered by CAPITAL FINANCIAL SERVICES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Introduction

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05

Frequently Asked Questions

What services does John Richard Carlson offer?
John Richard Carlson specializes in Financial Planning, Investment Management. Contact their office in MINOT, North Dakota for a consultation.
What are John Richard Carlson's credentials?
John Richard Carlson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John Richard Carlson located?
John Richard Carlson is based in MINOT, North Dakota, working with CAPITAL FINANCIAL SERVICES, INC.. Their office serves clients in the MINOT metropolitan area and surrounding communities.
How does John Richard Carlson charge for services?
John Richard Carlson's firm is compensated through percentage of aum, hourly charges, subscription fees, other: referral fees from other investment advisors.. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CAPITAL FINANCIAL SERVICES, INC.?
CAPITAL FINANCIAL SERVICES, INC. has approximately 81 employees and manages $213M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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