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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2024-10-25 |
Branch Locations
43 Constitution Drive Suite 201, Bedford, NH 03110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Merrimack | NH | 06/2023 | 09/2024 |
| Salve Regina University | Newport | RI | 02/2022 | 05/2023 |
| Salve Regina University | Newport | RI | 09/2018 | 05/2019 |
| Aube's Plumbing And Heating Llc | Falmouth | ME | 05/2019 | 09/2019 |
| Salve Regina University | Newport | RI | 09/2019 | 05/2020 |
| Aube's Plumbing And Heating Llc | Falmouth | ME | 05/2020 | 09/2020 |
| Salve Regina University | Newport | RI | 09/2020 | 05/2021 |
| Alpha Centric Funds | Barrington | RI | 11/2021 | 02/2022 |
| Adaptive Distribution Group | Barrington | RI | 12/2021 | 03/2023 |
| Gritty Mcduffs Brewery | Freeport | ME | 05/2021 | 09/2021 |
| Mml Investors Services, Llc | Boston | MA | 10/2024 | Present |
| Massmutual Life Insurance Co | Boston | MA | 09/2024 | Present |
| Fidelity Investments | Merrimack | NH | 06/2023 | 09/2024 |
| Aube's Due Diligence Llc | Cheyenne | WY | 01/2023 | Present |
| Commonwealth Financial Network | Falmouth | ME | 06/2021 | 08/2021 |
| Falmouth High School | Falmouth | ME | 09/2014 | 09/2018 |
(1) NAME: Aube's Due Diligence INV REL: Y ADD: 2120 Carey Ave, Cheyenne WY 82001, NATURE: Analytical Reporting for Marketing Companies POSITION: Owner, START DATE: 1/1/2023, NO. HRS/MO: 20, NO. HRS/MO DUR TRADING: 0. (2) NAME: Aubex5/85 Pine, LLC, INV REL: Y, ADD: 19 Aube Woods Way, Falmouth, ME 04105, NATURE: Real Estate Investments, POSITION: Co-owner, START DATE: 06/01/2025, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 0, DUTIES: Investor and laborer, manual property repairs
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 2023-12-22 |
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