Richard C. Habermann

CARLSON INVESTMENTS

Concord, NH 03301

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CRD#: 2216146

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.

Question & Answer

Are you a "fiduciary"?

Yes

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

CRD#: 103848

PORTLAND, ME

Past

November 23, 2005 - March 10, 2008

MILLER TABAK + CO., LLC

CRD#: 47293

BOSTON, MA

Past

January 14, 2002 - October 12, 2004

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

December 21, 2001 - January 18, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

March 26, 1992 - January 18, 2002

NATIONAL FINANCIAL SERVICES LLC

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 11/11/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/25/1992

General Securities Representative Examination

Current Firm

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

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 Accounts	901
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.

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Firm Stability Insights

Richard C. Habermann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

MILLER TABAK + CO., LLC

FULCRUM GLOBAL PARTNERS LLC

FIDELITY BROKERAGE SERVICES LLC

NATIONAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

CARLSON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2015

Series 63

Date: 5/8/1992

Series 55

Date: 11/11/1999

Series 7

Date: 3/25/1992

Current Firm

CARLSON INVESTMENTS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARLSON INVESTMENTS

TRUST BUT VERIFY

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