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Current Employers
Moors & Cabot, Inc.

One Federal Street 19Th Floor, Boston, MA 02110 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-12-03
  • CO RA
    APPROVED
    Since 2020-12-03

Branch Locations

Osterville, MA • United States

One Federal Street 19Th Floor, Boston, MA 02110 • UNITED STATES

One Federal Street 19Th Floor, Boston, MA 02110 • United States

999 Vanderbilt Beach Road Suite 102, Naples, FL 34108 • 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
Moors & Cabot Inc Boston MA 07/2018 Present
Cape Cod Healthcare Hyannins MA 02/2016 06/2018
  • 07/2018 → Present
    Boston, MA
  • 02/2016 → 06/2018
    Cape Cod Healthcare
    Hyannins, MA
Other Businesses

1) Hooked On: 27 B Winanno Avenue Osterville, MA 02655 Co-owner with spouse of a boutique clothing store; minimal involvement with day-to-day operations, 0-2 hours non-business hours per week. 2) Board Member, Bluecoats of Barnstable; 2 hours monthly; 0% time spent during business hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-12
S63 Uniform Securities Agent State Law Examination 2019-02-26
  • S66 Uniform Combined State Law Examination
    2019-03-12
  • S63 Uniform Securities Agent State Law Examination
    2019-02-26

View on SEC IAPD

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