NVEST FINANCIAL, LLC of PORTSMOUTH, NH is an SEC-registered investment adviser (CRD 128868). Regulatory assets under management: $688.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Nichole Demetria Raftopoulos | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | — |
| George Nmn Raftopoulos | PRESIDENT | — |
| RAFTOPOULOS GEORGE | PRESIDENT | — |
| RAFTOPOULOS NICHOLE DEMETRIA | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | — |
| RAFTOPOULOS GEORGE NMN | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-01-04 | regulatory | DURING THE PERIOD FEBRUARY 8, 2020 THROUGH DECEMBER 24, 2020, NVEST OPERATED AN ADDITIONAL BRANCH OFFICE LOCATION IN BOSTON, MASSACHUSETTS WHILE SEEKING REGISTRATION AS AN INVESTMENT ADVISER IN MASSACHUSETTS. ON JANUARY 4, 2021, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS CONTAINED THEREIN, NVEST E… | Final | $7K |