James R. Mullins

CARLSON INVESTMENTS

Concord, NH 03301

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CRD#: 4067197

Professional summary

James Roger Mullins is a registered financial advisor currently at CARLSON INVESTMENTS located in Concord, New Hampshire.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 James Roger Mullins'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

August 31, 2001 - Present

CARLSON INVESTMENTS

Office #1: 2 Capital Plaza Suite 307, Concord, NH 03301

RIA

CRD#: 105729

Concord, NH

Past

January 17, 2000 - August 31, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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
(9/15/2010)

IAR

Missouri
(9/16/2010)

IAR

New Hampshire
(8/31/2001)

IAR

North Carolina
(8/1/2018)

IAR

Pennsylvania
(1/31/2017)

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 66

Date: 1/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/13/2000

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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James R. Mullins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Roger Mullins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARLSON INVESTMENTS

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CARLSON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2000

Series 7

Date: 1/13/2000

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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