Alan J. Rattee

CARLSON INVESTMENTS

Concord, NH 03301

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CRD#: 7402533

Professional summary

Alan Joseph Rattee JR., who also goes by Alan Joseph Rattee, is a registered financial advisor currently at CARLSON INVESTMENTS located in Concord, New Hampshire.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Alan has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Joseph Rattee

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 Alan Joseph Rattee 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

April 19, 2024 - Present

CARLSON INVESTMENTS

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

RIA

CRD#: 105729

Concord, NH

Past

October 22, 2021 - May 12, 2022

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

Massachusetts
(5/15/2024)

IAR

Missouri
(4/19/2024)

IAR

New Hampshire
(4/19/2024)

IAR

Virginia
(7/1/2025)

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: 4/2/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/22/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/15/2021

Securities Industry Essentials 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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Alan J. Rattee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Joseph Rattee JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CARLSON INVESTMENTS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CARLSON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2024

Series 63

Date: 10/29/2021

Series 7TO

Date: 10/22/2021

SIE

Date: 10/15/2021

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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