GOOD HARBOR ADVISORS, INC. of GLOUCESTER, MA is an SEC-registered investment adviser (CRD 143492). Regulatory assets under management: $333.7M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Matthew Miller Babson | SECRETARY/DIRECTOR | — |
| Donna Irene Crocker | PRESIDENT/TREASURER/DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| BABSON MATTHEW MILLER | SECRETARY; SECRETARY/DIRECTOR | — |
| CROCKER DONNA IRENE | PRESIDENT/ CHIEF COMPLIANCE OFFICER; PRESIDENT/TREASURER/DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-03-09 | regulatory | RESPONDENTS INACCURATELY LISTED MATTHEW BABSON'S QUALIFICATION AS A CPA IN VARIOUS FORM ADV FILINGS. | Final | $25K |