RC
RC
Richard Cawthorne is a registered investment advisor, based in Boston, MA, with 25 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold.
Location
396 Commonwealth Ave., Unit D-2A, Boston, MA, 02215
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Regulatory History (1)
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Customer Dispute
April 2015Settled
Other Business ActivitiesSells Insurance
Richard is involved with Alpha Pension Group and Global Retirement Partners as an investment advisor representative, dedicating full-time hours to these activities. He also owns rental real estate and sells non-variable life insurance, dedicating minimal time to these endeavors.
Employment History
Current Registrations
HUB International Investment Services INC.
November 2021 - Present · 4 yrs 11 mos
HUB International Investment Services INC.Broker
November 2021 - Present · 4 yrs 11 mos
Global Retirement Partners LLC
July 2016 - Present · 10 yrs 3 mos
LPL Financial LLCBroker
July 2016 - Present · 10 yrs 3 mos
Previous Registrations
Alpha Pension Group, INC.
October 2014 - March 2021 · 6 yrs 5 mos
Eagle Strategies LLC
September 2006 - July 2016 · 9 yrs 10 mos
Nylife Securities LLCBroker
January 2004 - July 2016 · 12 yrs 6 mos
Mfs Fund Distributors, INC.Broker
January 2001 - January 2004 · 3 yrs
State Registrations13 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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