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Moors & Cabot, Inc. CRD 594
$3.44B regulatory AUM 10 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-02-21 |
| CA | RA | APPROVED | 2019-02-20 |
Branch Locations
One Federal Street 19Th Floor, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Southwest Company | Boston | MA | 03/2008 | Present |
DAS Investments, LLC 42 Benton Rd Belmont, MA 02478 Organization formed with father and brother for purpose of making investments in startup companies. maintain 80% ownership with responsibilities for initial capital and filing, no compensation, 1-2 hours spent on activity during non-business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-16 |
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