Inactive

James Roger Mullins

Carlson Investments

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Current Employers

Carlson Investments

Two Capital Plaza Suite 404, Concord, NH 03301 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-08-01
PA	RA	APPROVED	2017-01-31
MO	RA	APPROVED	2010-09-16
MA	RA	APPROVED	2010-09-15
NH	RA	APPROVED	2001-08-31

NC RA
APPROVED

Since 2018-08-01
PA RA
APPROVED

Since 2017-01-31
MO RA
APPROVED

Since 2010-09-16
MA RA
APPROVED

Since 2010-09-15
NH RA
APPROVED

Since 2001-08-31

Branch Locations

2 Capital Plaza Suite 404, Concord, NH 03301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Dl Carlson Investment Group, Inc	Concord	NH	08/2001	Present

08/2001 → Present

Dl Carlson Investment Group, Inc

Concord, NH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-01-28

S66 Uniform Combined State Law Examination

2000-01-28

Designations

View on SEC IAPD

Other Firms

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RBC CAPITAL MARKETS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CETERA INVESTMENT ADVISERS LLC

Other Investors

ADAM JOSEPH RUEDIG

WILLIAM DAVIS CHAPIN

PAUL BASIL MAKRIS

PATRICK J. HENNING

TIFFANY ROSE SNOW

KATHERINE ROSE KIPPEN

Evan Basil Makris

Other Offices

UBS FINANCIAL SERVICES INC. · CONCORD, NH

FOCUS PARTNERS WEALTH, LLC · Concord, NH

EDWARD JONES · CONCORD, NH

MARINER · Concord, NH

MARINER · Concord, NH

BROOKSTONE CAPITAL MANAGEMENT LLC · Concord, NH

RBC CAPITAL MARKETS, LLC · CONCORD, NH

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Concord, NH

More in Concord, NH

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