Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
41 advisors
Number of Clients
52,688 clients
Average Client Portfolio
$123K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:$250K
Financial Planning:Investment management only
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Location

500 Salem Street, Smithfield, RI, 02917-1288

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History

Regulatory 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.

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Employment History
Current Registrations
Fidelity Brokerage Services LLC
January 2021 - Present · 5 yrs 1 mo
Fidelity Brokerage Services LLCBroker
January 2021 - Present · 5 yrs 1 mo
Fidelity Institutional Wealth Adviser LLC
January 2021 - Present · 5 yrs 1 mo
National Financial Services LLC
December 2020 - Present · 5 yrs 2 mos
National Financial Services LLCBroker
December 2020 - Present · 5 yrs 2 mos
Previous Registrations
Santander Securities
March 2015 - January 2020 · 4 yrs 10 mos
Santander Securities LLCBroker
February 2015 - January 2020 · 4 yrs 11 mos
Cco Investment Services CORP.
July 2013 - February 2015 · 1 yr 7 mos
Cco Investment Services CORP.Broker
December 2012 - February 2015 · 2 yrs 2 mos
Santander Securities LLCBroker
November 2012 - December 2012 · 1 mo
LPL Financial LLCBroker
September 2011 - September 2012 · 1 yr
Jackson National Life Distributors LLCBroker
August 2008 - August 2009 · 1 yr
Fidelity Investments Institutional Services Company, INC.Broker
May 1998 - August 2008 · 10 yrs 3 mos
Citizens Investment Securities, INC.Broker
February 1997 - April 1998 · 1 yr 2 mos
State Registrations2 states
RITX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.