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Current Employers
Flagship Harbor Advisors, Llc

346 Commercial Street, Boston, MA 02109 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2014-12-08
  • MA RA
    APPROVED
    Since 2014-12-08

Branch Locations

411 Main St. Unit 4, Yamouthport, MA 02675 • United States

346 Commercial Street, Boston, MA 02109 • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Falmouth MA 11/2014 Present
Flagship Harbor Advisors, Llc Boston MA 11/2014 Present
Previous Registrations
  • 2009-11-30 → 2014-12-03
    Hyannis, MA
  • 2005-05-25 → 2009-11-19
    Cetera Investment Services Llc
    Falmouth, MA
    St. Cloud, MN
  • 2009-11-17 → 2009-11-18
    Td Wealth Management Services Inc.
    Falmouth, MA
    Osterville, MA
Other Businesses

(1) 11/28/2014: Flagship Harbor Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent (2) 12/10/2014: Flagship Harbor Advisors - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors - Investment Related - 350 Gifford St. Suite W22 Falmouth, MA 02540 - Started 11/26/2014 - 80% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in November, 2014. I expect to spend approximately 80% 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-28
S63 Uniform Securities Agent State Law Examination 2002-10-18
  • S66 Uniform Combined State Law Examination
    2005-02-28
  • S63 Uniform Securities Agent State Law Examination
    2002-10-18

View on SEC IAPD

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