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RIA / WealthAdvisor15 years in industry

JAMES EDWARD CARLSON

Advisor at CARLSON PLANNING COMPANY

MANSFIELD, MA | Mansfield, MA | MIDDLETON, ID

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Search this name across graphsid dfx:ria:a677dc13-8dc0-abdf-334d-74460ca3d807

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CARLSON PLANNING COMPANY
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 30, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 3
Exams: S66
First exam: Jun 30, 2011
First registration: Jul 6, 2011
Dual registered: no
Other names: JAMES E. CARLSON|JAMES E CARLSON
IAPD individual key: 5918427

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GANNETT WEALTH ADVISORS	Independent wealth	Nov 17, 2025	n/a	yes	Mansfield, MA\|MIDDLETON, ID	Current employment
CARLSON PLANNING COMPANY	State registered	Dec 5, 2019	n/a	yes	MANSFIELD, MA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Sep 10, 2019	no	NO. ATTLEBOROUGH, MA	Previous registration
Mariner	Independent wealth	Feb 12, 2016	Feb 1, 2018	no	North Attleboro, MA\|OVERLAND PARK,, KS	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 20, 2015	Mar 25, 2017	no	NO. ATTLEBOROUGH, MA\|BOSTON, MA	Previous registration
Mariner	Independent wealth	Dec 10, 2012	Apr 8, 2013	no	MAITLAND, FL\|OVERLAND PARK,, KS	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Nov 5, 2012	Apr 1, 2013	no	MAITLAND, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 6, 2011	Jul 27, 2012	no	JUPITER, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	CARLSON PLANNING COMPANY	Sep 10, 2019	Dec 5, 2019	86	Firm change	Ibd to state RIA
Mariner	MML INVESTORS SERVICES, LLC	Feb 1, 2018	Mar 25, 2017	-313	Bulk transfer	Other
MSI FINANCIAL SERVICES, INC.	Mariner	Mar 25, 2017	Feb 12, 2016	-407	Firm change after gap	Other
Mariner	MSI FINANCIAL SERVICES, INC.	Apr 8, 2013	Mar 20, 2015	711	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	Mariner	Apr 1, 2013	Dec 10, 2012	-112	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEW ENGLAND SECURITIES CORPORATION	Jul 27, 2012	Nov 5, 2012	101	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14251:151664:MA:2017-03-25	Mar 25, 2017	Feb 12, 2016	BOSTON, MA	Firm change after gap

Relationships

Registered with (7)

→ GANNETT WEALTH ADVISORSRegistered adviserregistration: current employment
Nov 17, 2025 to presentfactForm ADV
→ CARLSON PLANNING COMPANYRegistered adviserregistration: current employment
Dec 5, 2019 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Sep 10, 2019factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Feb 12, 2016 to Feb 1, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 20, 2015 to Mar 25, 2017factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 5, 2012 to Apr 1, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 6, 2011 to Jul 27, 2012factForm ADV

Dated events

No dated event names this entity yet.