NEW HARBOR FINANCIAL GROUP, LLC of WORCESTER, MA is an SEC-registered investment adviser (CRD 155528). Regulatory assets under management: $820.9M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| John Christopher Llodra | MANAGING MEMBER | — |
| Michael Robert Preston | MANAGING MEMBER | — |
| Christine Marie Drisco | CHIEF COMPLIANCE OFFICER | — |
| LLODRA JOHN | MANAGING MEMBER | — |
| PRESTON MICHAEL ROBERT | MANAGING MEMBER | — |
| DRISCO CHRISTINE MARIE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-04-26 | regulatory | THE COMMONWEALTH OF MASSACHUSETTS OFFICE OF THE SECRETARY OF THE COMMONWEALTH SECURITIES DIVISION ALLEGED THAT THE FIRM FAILED TO REASONABLY SUPERVISE INVESTMENT ADVISER REPRESENTATIVE'S MANAGEMENT OF LEVERAGED INVESTED ETF INVESTMENTS BETWEEN AUGUST 1, 2016 AND JULY 31, 2018. SPECIFICALLY, THE DIVI… | Final | $100K |