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11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-07-30 |
Branch Locations
125 Summer Street Suite 1220, Boston, MA 02110 • United States
11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invesco, Inc. - Invesco N.E. Division | Boston | MA | 12/1999 | 08/2017 |
| A I M Distributors, Inc. | Boston | MA | 12/2007 | 08/2017 |
| Aristotle Capital Management, Llc | Boston | MA | 01/2018 | Present |
| Imst Distributors, Llc | Boston | MA | 02/2018 | 10/2023 |
| Unemployed | Hampton | NH | 09/2017 | 12/2017 |
| Foreside Financial Services, Llc | Boston | MA | 10/2023 | Present |
1) Aristotle Capital Management LLC; Investment Related; RIA; Boston, MA; 1/2/2018; Senior Vice President, Institutional Services; Business Development; 200 Hrs Per Month; 160 Hrs Per Month Trading 2) KPS, Inc.; Not Investment Related; Rental Property; Hampton, NH; 7/23/1993; Director; 1 Hr Per Month 3) Hampton House Hotel, Inc.; Not Investment Related; Hotel; Hampton, NH; 4/1/2014; Director; Officer for hotel; 0 Hrs Per Month 4) Glen Hill Inc.; Not Investment Related; Property Owner; Hampton, NH; 4/1/2014; Director; Director of inactive corporation; 0 Hrs Per Month 5) 2C&D, LLC; Not Investment Related; Rental Property; Hampton, NH; 1/31/2023; Partner; Rent occasionally for a month at a time; 1 Hr Per Month 6) 1C&D LLC; Not Investment Related; Rental Property; Key West, FL; 12/1/2025; Co-Owner; Investment in rental property; 5 Hrs Per Month 7) Barn Realty, Inc.; Not investment Related; Rental Property; Hampton, NH; 01/2026; None; Rental Property; 0 Hrs./Mo.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-09 |
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