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85 Beach Street, Westerly, RI 02891 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2017-01-30 |
| VA | RA | APPROVED | 2015-01-26 |
| CT | RA | APPROVED | 2014-03-26 |
| RI | RA | APPROVED | 2014-03-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed - Rc Associates | Pawcatuck | CT | 01/1998 | 01/2025 |
| First Allied Securities, Inc. | San Diego | CA | 01/2013 | 09/2022 |
| First Financial Advisory Serv, Inc | Westerly | RI | 03/2014 | Present |
| Seacorp | Middletown | RI | 07/2015 | 08/2021 |
| Cetera Advisors Llc | Westerly | RI | 09/2022 | Present |
| First Allied Securities, Inc | Westerly | RI | 01/1991 | Present |
| First Financial Advisory Services, Llc Dba Far Flung Change | Westerly | RI | 06/2026 | Present |
1.) PINE BOX ART; ARTIST/OWNER; START DATE 08/2023; 4 HOURS PER MONTH. 2.) MUSICIAN; OTHER; START DATE 08/01/2016; 8 HOURS PER MONTH. 3.) GERALDINE B. CUNNINGHAM AND DAVID J. CUNNINGHAM IRREVOCABLE TRUST; TRUSTEE; FIDUCIARY POSITION; START DATE 9/14/2017; 0 HOURS PER MONTH. 4) NAME OF OTHER BUSINESS: MYSTIC CHAMBER MUSIC SERIES; INVESTMENT RELATED: NO; ADDRESS: 10 NEW LONDON ROAD, MYSTIC, CT 06355; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROMOTE AND SUPPORT CONCERTS; 5) NAME OF OTHER BUSINESS: FIRST ALLIED SECURITIES, INC.; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/1991, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 6) NAME OF OTHER BUSINESS: WESTERLY LIBRARY BOARD OF TRUSTEES; INVESTMENT RELATED: NO; ADDRESS: 44 BROAD ST, WESTERLY, RI 02891; NATURE OF BUSINESS: BOARD; START DATE: 7/2019; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: CHAIR MEETINGS ON THE FINANCE COMMITTEE, REVIEW MONTHLY INCOME AND EXPENSE CHARTS; 7) NAME OF OTHER BUSINESS: FIRST FINANCIAL ADVISORY SERVICES, LLC DBA FAR FLUNG CHANGE; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL ORIENTATION; START DATE: 06/2026; POSITION/TITLE/RELATIONSHIP: ORIENTATION CONSULTANT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: DELIVERY OF THE FINANCIAL ORIENTATION PROGRAM;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-15 |
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