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RH

Richard C. Habermann

CARLSON INVESTMENTS
CONCORD, NH 03301
Some features on this profile are disabled
CRD#: 2216146
RH
Richard Carl Habermann JRCARLSON INVESTMENTS

Professional summary

Richard Carl Habermann JR, who also goes by Richard Carl Haberman Jr, Richard Carl Habermann, Sandy Habermann Jr, is a registered financial advisor currently at CARLSON INVESTMENTS located in Concord, New Hampshire.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Richard Carl Haberman Jr | Richard Carl Habermann | Sandy Habermann Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Carl Habermann JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 11, 2015 - Present

CARLSON INVESTMENTS

Office #1: Two Capital Plaza Suite 404, Concord, NH 03301
RIA
CRD#: 105729
CONCORD, NH
Past

August 10, 2010 - December 31, 2010

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

November 23, 2005 - March 10, 2008

MILLER TABAK + CO., LLC

BD
CRD#: 47293
BOSTON, MA
Past

January 14, 2002 - October 12, 2004

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

December 21, 2001 - January 18, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 26, 1992 - January 18, 2002

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CARLSON INVESTMENTS
CARLSON D L INVESTMENT GROUP INC | DL CARLSON INVESTMENT GROUP INC. | DL CARLSON INVESTMENT GROUP INC | CARLSON INVESTMENTS

CRD#: 105729 / SEC#: 801-34606

RIA
Registered Investment Advisory firm - (6/12/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(6/24/2015)
IAR
Missouri
(8/11/2021)
IAR
New Hampshire
(5/11/2015)
IAR
New York
(8/12/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/11/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/11/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/25/1992
General Securities Representative Examination

Current Firm

CI
CARLSON INVESTMENTS
CARLSON D L INVESTMENT GROUP INC | DL CARLSON INVESTMENT GROUP INC. | DL CARLSON INVESTMENT GROUP INC | CARLSON INVESTMENTS

CRD#: 105729 / SEC#: 801-34606

RIA
Registered Investment Advisory firm - (6/12/1989 Approved)
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Contact information

Main Address
Two Capital Plaza Suite 404, Concord, NH 03301
Mailing Address
Phone number
(603) 224-5977
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

03-25-2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts901
AUM (Assets Under Management)$ 694,630,096

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CARLSON INVESTMENTS

CRD#: 105729Concord, NH 03301

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