AD
Audrey B. Daum
MOORS & CABOT
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1861050
AD
Professional summary
Audrey Barbara Daum, who also goes by Audrey B Daum, Audrey Barbara Daum-kaufman, Cathrine Barbara Daum-kaufman, is a registered financial advisor currently at MOORS & CABOT, INC. located in Boston, Massachusetts.
Audrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Audrey has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Audrey B Daum | Audrey Barbara Daum-Kaufman | Cathrine Barbara Daum-Kaufman
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.
Board Member - MIT Sloan Alumni Association of Boston - no compensation
Author of Childrens Book-"The Little Floof's Book of Money", 5-10 hours, Compensation TBD (to be availble on Amazon).
CRS (Client Relationship Summary) - RIA
Click below to view Audrey Barbara Daum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Audrey Barbara Daum'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®
NoneExperience
Current
April 28, 2017 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Current
April 28, 2017 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Past
June 29, 2016 - May 5, 2017
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
BOSTON, MA
Past
September 24, 2010 - May 5, 2017
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BOSTON, MA
Past
May 4, 1998 - September 27, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WELLESLEY HILLS, MA
Past
August 2, 1988 - December 24, 1996
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/15/2023)
RR
California(4/28/2017)
IAR
California(4/28/2017)
RR
Connecticut(4/28/2017)
RR
District of Columbia(4/28/2017)
RR
Florida(4/28/2017)
RR
Hawaii(4/28/2017)
RR
Illinois(12/10/2019)
RR
Kansas(4/28/2017)
RR
Maine(4/28/2017)
RR
Maryland(12/9/2022)
RR
Massachusetts(4/28/2017)
RR
Missouri(8/17/2018)
RR
New Hampshire(4/28/2017)
RR
New Jersey(4/28/2017)
RR
New York(4/28/2017)
RR
Pennsylvania(5/9/2017)
RR
Rhode Island(4/13/2023)
RR
South Carolina(8/23/2017)
RR
Vermont(12/9/2022)
RR
Virgin Islands(12/9/2022)
RR
Virginia(4/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
Company Information
MOORS & CABOT, INC.
CRD#: 594Boston, MA 02110TRUST BUT VERIFY
Monitor Audrey Daum
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
