James E. Carlson

CARLSON PLANNING COMPANY

Mansfield, MA

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CRD#: 5918427

Professional summary

James Edward Carlson, who also goes by James E Carlson, James E. Carlson, is a registered financial advisor currently at CARLSON PLANNING COMPANY located in Mansfield, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James E Carlson | James E. Carlson

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.

(1) 2015-Present: Sharon & Crescent United Credit Union/Not Investment Related/Sharon, MA/Loan Originator/Mortgage Lending/Involves five percent or less time each month during traditional business hours.//(2) 2019-Present: Sharon Insurance, LLC/Insurance Related/Sharon, MA/Insurance Agency/Chief Operating Officer & Agent/Involves 20% time each month, including during traditional business hours.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Carlson's 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

December 5, 2019 - Present

CARLSON PLANNING COMPANY

RIA

CRD#: 300667

Mansfield, MA

Past

March 25, 2017 - September 10, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

NO. ATTLEBOROUGH, MA

Past

March 25, 2017 - September 10, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

NO. ATTLEBOROUGH, MA

Past

February 12, 2016 - February 1, 2018

MARINER

RIA

CRD#: 151664

North Attleboro, MA

Past

March 28, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NO. ATTLEBOROUGH, MA

Past

March 20, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

NO. ATTLEBOROUGH, MA

Past

December 10, 2012 - April 8, 2013

MARINER

RIA

CRD#: 151664

MAITLAND, FL

Past

November 5, 2012 - April 1, 2013

NEW ENGLAND SECURITIES

RIA

CRD#: 615

MAITLAND, FL

Past

November 1, 2012 - April 1, 2013

NEW ENGLAND SECURITIES

CRD#: 615

MAITLAND, FL

Past

July 6, 2011 - July 27, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JUPITER, FL

Past

June 10, 2011 - July 27, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JUPITER, FL

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
(12/5/2019)

IAR

Rhode Island
(1/22/2020)

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: 6/30/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2011

General Securities Representative Examination

Current Firm

CARLSON PLANNING COMPANY

CARLSON PLANNING COMPANY | SCU FINANCIAL, LLC | SCU FINANCIAL | CARLSON PLANNING COMPANY, LLC

CRD#: 300667 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/5/2019 Approved)

Rhode Island

Registered Investment Advisory firm - (1/15/2020 Approved)

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Contact information

Main Address

Mansfield, MA

Mailing Address

Po Box 812, Mansfield, MA 02048

Phone number

(508) 399-1887

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	103
AUM (Assets Under Management)	$ 5,266,135

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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Advisor Monitoring

Firm Stability Insights

James E. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MARINER

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MARINER

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2011

Current Firm

CARLSON PLANNING COMPANY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARLSON PLANNING COMPANY

TRUST BUT VERIFY

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