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Moors & Cabot, Inc. CRD 594
$3.44B regulatory AUM 10 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Federal Street 19Th Floor, Boston, MA 02110 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2007-08-02 |
Branch Locations
One Federal Street 19Th Floor, Boston, MA 02110 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moors & Cabot, Inc. | Boston | MA | 09/2005 | Present |
| Moors & Cabot Financial Advisors, Llc. | Boston | MA | 09/2005 | Present |
ARBITRATOR WITH FINRA DISPUTE RESOLUTION. EIGHTEEN NINETY PARTNERS, LLC 10617 CHARLESTON DRIVE VERO BEACH, FL 32963-HOLDING COMPANY FOR MOORS & CABOT AS OF 10/27/2022, TITLE: ONE OF MANAGERS OF LLC, NO COMPENSATION, DIRECT OWNER IN BUSINESS, 4 HOURS PER WEEK
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-12 |
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