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James Reginald Moise

Little House Capital, LLC

Braintree, MA

CRD 4969885

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Employer firm

Little House Capital, LLC CRD 290070

$675M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Little House Capital, Llc

35 Braintree Hill Park #100, Braintree, MA 02184 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2021-07-09
  • MA RA
    APPROVED
    Since 2021-07-09

Branch Locations

35 Braintree Hill Park #100, Braintree, MA 02184 • 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
People's United Bank Boston MA 06/2013 11/2017
Little House Capital, Llc Topsfield MA 11/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-19
S63 Uniform Securities Agent State Law Examination 2005-10-18
  • S65 Uniform Investment Adviser Law Examination
    2021-06-19
  • S63 Uniform Securities Agent State Law Examination
    2005-10-18

View on SEC IAPD

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MG FINANCIAL LLC
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Nearby Investors

Dante Marco Coppola
ADAM J DANI
ALEXANDER GREGORY WEISS

Nearby Offices

NAPIER FINANCIAL · BRAINTREE, MA
MG FINANCIAL LLC · BRAINTREE, MA
MUTUAL OF OMAHA INVESTOR SERVICES, INC. · BRAINTREE, MA

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