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370 Main Street Suite 1000, Worcester, MA 01608 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-07-16 |
| TX | RA | APPROVED | 2026-07-07 |
Branch Locations
370 Main Street Suite 1000, Worcester, MA 01608 • United States
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-04-14 |
| MA | RA | APPROVED | 2024-02-20 |
Branch Locations
370 Main Street Suite 1000, Worcester, MA 01608 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ten Broeck Insurance Group | Pepperell | MA | 01/2013 | 12/2018 |
| Granite Financial Partners Llc | Milford | NH | 01/2019 | 10/2021 |
| Tb Group | Pepperell | MA | 02/2023 | 06/2024 |
| Term Shop | Pepperell | MA | 01/2023 | Present |
| Tb Group | Pepperell | MA | 09/2022 | 12/2024 |
| Granite Financial Partners | Mildord | NH | 11/2021 | 08/2022 |
| Commonwealth Financial Network | Waltham | MA | 02/2024 | 01/2026 |
| Bartholomew & Company, Inc. | Worcester | MA | 12/2024 | Present |
| Commonwealth Financial Network | Waltham | MA | 01/2026 | Present |
| Bartholomew & Company Wealth Management, Llc | Worcester | MA | 07/2026 | Present |
1. Term Shop, LLC. Investment-related. Pepperell, MA. Fixed and indexed insurance sales, group health insurance, and benefits. Mr. Swaim is an Owner/Producer since June 2023. Approximately 5 hours per month during business hours and 1-2 hours per week during securities trading hours. The duties include insurance sales, quotes, suitability. LLC renewal procedures once a year, taxes, licenses, and CE. 2. New England Trapper, LLC. Not investment-related. Pepperell, MA. Online clothing and accessory sales. Mr. Swaim is an Owner/Operator since August 2017. Approximately 5 hours per month and 0 hours during securities trading hours. The duties include selling clothing items and accessories online. 3. Auto-Detailing (no formal name). Not investment-related. Pepperell, MA. Vehicle washing, waxing, and vacuuming. Mr. Swaim is a Detailer since April 2024. 0 hours during business or securities trading hours. The duties include automotive washing, waxing, vacuuming, and interior cleaning. 4. Rental Property (no formal name). Not investment-related. Pepperell, MA. Property with two, two-bedroom units for rent. Mr. Swaim is an Owner/Landlord since August 2021. Approximately 5 hours per month and 0 hours during securities trading hours. The duties include those of a typical landlord.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-04-11 |
| S65 | Uniform Investment Adviser Law Examination | 2021-12-08 |
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