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Current Employers
Flagship Harbor Advisors, Llc

346 Commercial Street, Boston, MA 02109 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2011-06-23
  • MA RA
    APPROVED
    Since 2011-06-23

Branch Locations

346 Commercial Street, Boston, MA 02109 • United States

424 Broadway, Somerville, MA 02145 • 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 Cambridge MA 05/2011 Present
Flagship Harbor Advisors, Llc Cambridge MA 05/2011 Present
Previous Registrations
Other Businesses

1) 05/16/2011: No Business Name - Teacher/Instructor - Not Investment Related - At Reported Business Location(s) - 2% Time Spent - I teach several classes each year on various investing topics each for a flat fee. These are organized through the Cambridge Centre for Adult Education, who issues the 1099 pay. 2) 05/16/2011: Laurenz Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 1% Time Spent 3) 05/16/2011: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 10% Time Spent - I may offer fixed insurance through David Kauffman 4) 05/16/2011: No Business Name - Teacher/Instructor - Not Investment Related - At Reported Business Location(s) - 2% Time Spent - I teach several classes each year on varoius investment topics. I am paid a flat fee 1099 by the Boston center for Adult Education who organizes the classes. 5) 07/07/2011: Flagship Harbor Advisors, LLC - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - 30% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in June, 2011. I expect to spend approximately 30% 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 2007-01-29
S63 Uniform Securities Agent State Law Examination 2002-09-26
  • S66 Uniform Combined State Law Examination
    2007-01-29
  • S63 Uniform Securities Agent State Law Examination
    2002-09-26

View on SEC IAPD

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