David C. Trott

ARAGORN LTD.

Milton, MA

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CRD#: 1309964

Professional summary

David Craig Trott is a registered financial advisor currently at ARAGORN LTD. located in Milton, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DAVID C. TROTT, P.C.; NON-INVESTMENT RELATED; 420 WASHINGTON STREET, SUITE 401, BRAINTREE, MA 02184; LAW FIRM; PRESIDENT/OWNER; EST. 10/18/1983; 20 HOURS PER MONTH; 10 HOURS PER MONTH DURING TRADING HOURS; LAWYER PROVIDING TAX, BUSINESS AND ESTATE PLANNING SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Craig Trott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 8, 2005 - Present

ARAGORN LTD.

RIA

CRD#: 129380

Milton, MA

Past

March 31, 2003 - December 1, 2005

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

July 3, 1990 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

June 19, 1986 - July 3, 1990

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

February 22, 1985 - June 20, 1986

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

Past

October 26, 1984 - February 26, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/8/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Current Firm

ARAGORN LTD.

CRD#: 129380 / SEC#: 801-66262

RIA

Registered Investment Advisory firm - (10/8/2012 Terminated)

Florida

Registered Investment Advisory firm - (2/9/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (9/5/2012 Approved)

New Hampshire

Registered Investment Advisory firm - (3/14/2016 Terminated)

Texas

Registered Investment Advisory firm - (2/9/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Milton, MA

Mailing Address

Phone number

(617) 322-1735

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 14,887,763

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David C. Trott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Craig Trott's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARAGORN LTD.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

LCP CAPITAL CORP.

CARDELL & ASSOCIATES, INCORPORATED

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1997

Series 63

Date: 1/30/1985

Series 7

Date: 10/20/1984

Current Firm

ARAGORN LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARAGORN LTD.

TRUST BUT VERIFY

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