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346 Commercial Street, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2020-09-22 |
Branch Locations
346 Commercial Street, Boston, MA 02109 • United States
15 Caswell Lane 2Nd Floor, Plymouth, MA 02360 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein And Co, Llc | New York | NY | 05/2016 | 05/2020 |
| Lpl Financial Llc | Plymouth | MA | 07/2020 | Present |
| Flagship Harbor Advisors | Plymouth | MA | 09/2020 | Present |
1. 7/1/2020 - Flagship Harbor Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/19/2021 - Flagship Harbor Plymouth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/23/2020 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Flagship Harbor Plymouth, an independent investment advisor firm. I started this business activity in 1/2021. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-18 |
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