SM
Scott M. Mondeau
FLAGSHIP HARBOR ADVISORS
Bridgewater, MA
Some features on this profile are disabled
CRD#: 2208366
SM
Professional summary
Scott Michael Mondeau is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Bridgewater, Massachusetts and LPL FINANCIAL LLC located in Bridgewater, Massachusetts.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 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) 03/21/2022 - Flagship Harbor Advisors LlC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 03/11/2022 - Fieldstone Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 3) 03/21/2022 - Scott Mondeau/Sole Proprietor - Non-Variable Insurance - Owner - Inv Rel - At Reported Business Location(s) - Start: 06/1990 - 30 Hr/Mth 4) 03/21/2022 - Independent Contractor - Outside/W-2 Employment - Masonry Repair and Restoration - Non-Inv Rel - Bridgewater, MA - Start: 12/1980 5) 04/07/2022 - Flagship Harbor Advisors, LLC - DBA: (Hybrid) Fieldstone Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 06/04/2010 - 160 Hours Per Month/120 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Flagship Harbor Advisors, LLC, an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 04/07/2022 - Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 06/04/2010 - 160 Hours Per Month/120 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Flagship Harbor Advisors, LLC, an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7) 12/07/2023 - Ice Hockey Referee - Official, Weekends Only - Outside/W-2 Employment - Non-Inv Rel - Started: 3/25/2023 - 20 Hr/Mth
CRS (Client Relationship Summary) - RIA
Click below to view Scott Michael Mondeau'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
March 31, 2022 - Present
FLAGSHIP HARBOR ADVISORS, LLC
RIA
CRD#: 155733
Bridgewater, MA
Current
March 25, 2022 - Present
LPL FINANCIAL LLC
Office #1: 410 Laurel Street, Bridgewater, MA 02324RIA
BD
CRD#: 6413
Bridgewater, MA
Past
January 17, 2006 - March 26, 2022
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
BRIDGEWATER, MA
Past
April 22, 2005 - March 26, 2022
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
BRIDGEWATER, MA
Past
February 26, 1992 - April 21, 2005
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)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
Alabama(5/10/2023)
RR
California(3/20/2024)
RR
Colorado(3/25/2022)
RR
Connecticut(3/25/2022)
RR
District of Columbia(1/2/2025)
RR
Florida(3/25/2022)
RR
Maine(3/25/2022)
RR
Massachusetts(3/28/2022)
IAR
Massachusetts(3/31/2022)
RR
Missouri(3/25/2022)
RR
New Hampshire(3/25/2022)
RR
New Jersey(10/12/2023)
RR
New York(3/25/2022)
RR
North Carolina(3/28/2022)
RR
North Dakota(3/25/2022)
RR
Puerto Rico(7/6/2022)
RR
Rhode Island(3/25/2022)
RR
South Carolina(3/25/2022)
RR
Texas(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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.
