AH
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
158 advisors
Number of Clients
10,401 clients
Average Client Portfolio
$245K average
Assets Under Management
$2.6B
Fee Structure
Financial Planning:Included in AUM fee
This firm provides access to wrap fee advisory programs. They also offer financial planning services to wrap fee clients at no additional charge. The firm also receives compensation from the Bank Deposit Sweep Program (BDSP), creating a conflict of interest.
Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information
Office location
75 State Street, Boston, MA, 02109
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Santander Securities
April 2020 - Present · 5 yrs 9 mos
Santander Securities LLC Broker
April 2020 - Present · 5 yrs 9 mos
Previous Registrations
Citizens Investment Services
April 2015 - April 2020 · 5 yrs
Citizens Securities, INC. Broker
April 2015 - April 2020 · 5 yrs
Prudential Financial Planning Services
February 2015 - April 2015 · 2 mos
Prudential Financial Planning Services
October 2012 - December 2014 · 2 yrs 2 mos
Pruco Securities, LLC. Broker
May 2009 - April 2015 · 5 yrs 11 mos
Nationwide Securities, LLC
August 2008 - December 2008 · 4 mos
Nationwide Securities, LLC Broker
August 2008 - December 2008 · 4 mos
1717 Capital Management Company
July 2007 - August 2008 · 1 yr 1 mo
1717 Capital Management CompanyBroker
July 2007 - August 2008 · 1 yr 1 mo
New England SecuritiesBroker
August 2001 - April 2007 · 5 yrs 8 mos
Metlife Securities INC.Broker
July 1999 - August 2001 · 2 yrs 1 mo
Metropolitan Life Insurance CompanyBroker
July 1999 - August 2001 · 2 yrs 1 mo
The Prudential Insurance Company of AmericaBroker
July 1988 - December 1993 · 5 yrs 5 mos
Pruco Securities Corporation Broker
July 1988 - April 1999 · 10 yrs 9 mos
State Registrations10 states
CTFLKSMANHNYRITNTXVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.