ESSENTIAL PLANNING, LLC of PORTSMOUTH, NH is an SEC-registered investment adviser (CRD 106651). Regulatory assets under management: $524.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Andrew Charles Lord | MEMBER, CHIEF COMPLIANCE OFFICER | — |
| LORD ANDREW CHARLES | MEMBER, CCO; MEMBER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-05-30 | regulatory | ON OR ABOUT MAY 30, 2014 DEALER SUBMITTED TO THE CRD OF FINRA AN APPLICATION FOR SECURITIES INDUSTRY REGISTRATION (THE IAR APPLICATION) SEEKING REGISTRATION OF LORD AS AN INVESTMENT ADVISOR REP OF DEALER IN MASSACHUSETTS. ON OR ABOUT JUNE 3, 2014 DEALER SUBMITTED TO THE CRD OF FINRA AN APPLICATION F… | Final | — |
| 2014-03-17 | regulatory | OMISSION OF A REQUIRED DISCLOSURE | Final | $5K |
| City | State | Employees | Phone |
|---|---|---|---|
| WOLFEBORO FALLS | NH | 1 | 603-569-6464 |
| WOLFEBORO FALLS | NH | 1 | 603-569-6464 |