FLAGSHIP HARBOR ADVISORS, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 155733). Regulatory assets under management: $3.4B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| David Jay Kaufman | MANAGING MEMBER / CHIEF EXECUTIVE OFFICER | Los Angeles, CA |
| John Porter Sawyer | CHIEF COMPLIANCE OFFICER | — |
| KOLBER ALYSSA MELANIE | MANAGER / CHIEF COMPLIANCE OFFICER | — |
| KAUFMAN ROBERT JAY | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER; MANAGING MEMBER / CHIEF EXECUTIVE OFFICER | — |
| SAWYER JOHN PORTER | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-27 | regulatory | THE BUREAU OF SECURITIES REGULATION ALLEGED THAT THE REGISTRANT FAILED TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE. | Final | $10K |
| 2017-03-01 | regulatory | THE SECURITIES DIVISION ALLEGED THAT THE REGISTRANT FAILED TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE. | Final | $94K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| HINGHAM | MA | 3 | (781) 740-2736 |
| NORTH ANDOVER | MA | 3 | 978-296-4141 |
| MARSHFIELD | MA | 2 | 781-834-1010 |
| MARYVILLE | TN | 2 | 865-233-3386 |
| WALPOLE | NH | 2 | 603-756-3935 |
| SOMERVILLE | MA | 1 | 617-491-0700 |
| — | — | 1 | 860680-1708 |
| FALMOUTH | MA | 1 | 508-563-5601 |
| DANVERS | MA | 1 | 978-347-0474 |
| — | — | 1 | 401-644-6908 |
| WESTFORD | MA | 1 | 978-692-0766 |
| YARMOUTH | ME | 1 | 207-847-4032 |
| MEDWAY | MA | 1 | 781-519-2332 |
| — | — | 1 | (978) 989-4933 |
| FRANKLIN | MA | 1 | 508-520-6755 |