Kate T. Graham

CARLSON INVESTMENTS

Concord, NH 03301

Some features on this profile are disabled

CRD#: 4304809

Professional summary

Kate T Graham, who also goes by Kate Tyler Fraize, is a registered financial advisor currently at CARLSON INVESTMENTS located in Concord, New Hampshire.

Kate is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kate has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kate Tyler Fraize

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 Kate T Graham'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 15, 2026 - Present

CARLSON INVESTMENTS

Office #1: Two Capital Plaza Suite 404, Concord, NH 03301

RIA

CRD#: 105729

Concord, NH

Past

July 13, 2018 - January 8, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MERRIMACK, NH

Past

June 22, 2007 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

February 6, 2001 - January 8, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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

New Hampshire
(5/15/2026)

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: 6/13/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/2001

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Matthew Dollinger

EDWARD JONES

IAR

JOLIET, IL

Waneta Jaikarran

E1 ASSET MANAGEMENT, INC.

Eric Schaefer

EVERMAY WEALTH MANAGEMENT, LLC

IAR

ARLINGTON, VA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kate T. Graham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kate T Graham's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CARLSON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2007

Series 63

Date: 2/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/5/2001

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

Similar Advisors