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Current Employers
Flagship Harbor Advisors, Llc

346 Commercial Street, Boston, MA 02109 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2010-12-22
  • MA RA
    APPROVED
    Since 2010-12-22

Branch Locations

31 Hayward Street 2Nd Floor, Franklin, MA 02038 • United States

346 Commercial Street, Boston, MA 02109 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Franklin MA 12/2010 Present
Flagship Harbor Advisors, Llc Boston MA 12/2010 Present
Previous Registrations
Other Businesses

(1) 12/10/2010: Fenton Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 03/08/2011: Flagship Harbor Advisors - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors - Investment Related - At Reported Business Location(s) - 10% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in December, 2010. I expect to spend approximately 10% of the time spent per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (3) 12/14/2011: Pinnacle IFS - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 15% Time Spent - Will offer fixed life insurance policies and fixed annuity contracts through Pinnacle IFS (4) 11/20/2025 - FENTON TISMAINE LAND TRUST - Real Estate Rental - Investment Related - Galway, Ireland - Start Date 10/31/2025 - 4 hours per month/ 1 hour during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-23
S63 Uniform Securities Agent State Law Examination 1996-08-19
  • S65 Uniform Investment Adviser Law Examination
    1997-01-23
  • S63 Uniform Securities Agent State Law Examination
    1996-08-19
Designations

View on SEC IAPD

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