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JD

Joseph M. Drinon

CARLSON INVESTMENTS
Concord, NH 03301
Some features on this profile are disabled
CRD#: 72053
JD

Professional summary

Joseph Michael Drinon is a registered financial advisor currently at CARLSON INVESTMENTS located in Concord, New Hampshire.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Joseph has worked at 5 firms and has passed the Series 65, Series 63, PC and Series 1 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 Joseph Michael Drinon'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

June 30, 2014 - Present

CARLSON INVESTMENTS

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

August 7, 1997 - January 11, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CONCORD, NH
Past

January 31, 1980 - December 31, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CONCORD, NH
Past

February 6, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

November 14, 1972 - March 22, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361
Past

April 27, 1972 - November 14, 1972

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

BD
CRD#: 243
Past

March 12, 1970 - May 20, 1972

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

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
New Hampshire
(6/30/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 7/28/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 3/11/1970
Registered 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)
PREMIUM
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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
12

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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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