AC
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
125 Main Street, Salem, NH, 03079
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
September 2012 - Present · 13 yrs 4 mos
Santander Securities LLC Broker
September 2012 - Present · 13 yrs 4 mos
Previous Registrations
LPL Financial LLC
July 2011 - September 2012 · 1 yr 2 mos
LPL Financial LLC Broker
May 2008 - September 2012 · 4 yrs 4 mos
Ifmg Securities, INC.Broker
March 2006 - May 2008 · 2 yrs 2 mos
Banc of America Investment Services, INC.Broker
November 2004 - March 2006 · 1 yr 4 mos
Ifmg Securities, INC.Broker
April 2004 - December 2004 · 8 mos
State Registrations19 states
CACTFLGAMAMEMIMTNCNHNJNYPARISCTXVAVTWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.