AM
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
175 Centre Street, Pembroke, MA, 02359
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
October 2019 - Present · 6 yrs 3 mos
Santander Securities LLC Broker
September 2019 - Present · 6 yrs 4 mos
Previous Registrations
Voya Financial Advisors, INC.
February 2012 - April 2019 · 7 yrs 2 mos
Voya Financial Advisors, INC. Broker
April 2011 - April 2019 · 8 yrs
Chase Investment Services CORP.Broker
September 2009 - September 2010 · 1 yr
Chase Investment Services CORP.
September 2009 - September 2010 · 1 yr
Northwestern Mutual Investment Services,llc
May 2007 - July 2009 · 2 yrs 2 mos
Northwestern Mutual Investment Services, LLC Broker
May 2007 - July 2009 · 2 yrs 2 mos
Ameriprise Financial Services, INC.
October 2006 - January 2007 · 3 mos
Ameriprise Financial Services, INC. Broker
September 2006 - January 2007 · 4 mos
State Registrations18 states
CAFLGAILMAMDMEMIMNNCNHNJNMNYPARISCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.