David William Allaire
Professional Summary
David William Allaire, who also goes by Dave Allaire, is a registered financial advisor currently at THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. located in Warwick, Rhode Island and MYSTIC ASSET MANAGEMENT located in Warwick, Rhode Island. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Allaire
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
MYSTIC ASSET MANAGEMENT | MYSTIC ASSET MANAGEMENT, INC.
Contact Information
Main Address
1287 Post Road, Warwick, RI 02888Phone Number
(860) 495-3300# of Employees
3SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
371AUM (Assets Under Management)
$614,583,156Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MYSTIC ASSET MANAGEMENT | MYSTIC ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
(2/26/2015)
(3/12/2015)
(2/26/2015)
(2/26/2015)
(2/26/2015)
(10/28/1996)
(2/26/2015)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1988About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David William Allaire's CRS (Customer Relationship Summary).
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