Samuel J. Conte

MASSACHUSETTS WEALTH MANAGEMENT

North Andover, MA 01845

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CRD#: 2341015

Professional summary

Samuel James Conte II is a registered financial advisor currently at MASSACHUSETTS WEALTH MANAGEMENT, LLC located in North Andover, Massachusetts.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Samuel has worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 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. DIRECTOR - GLOUCESTER LIQUORS INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel James Conte II's CRS (Customer Relationship Summary).

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

January 17, 2012 - Present

MASSACHUSETTS WEALTH MANAGEMENT, LLC

Office #1: 807 Turnpike Street, North Andover, MA 01845

RIA

CRD#: 160235

North Andover, MA

Past

January 16, 2009 - January 3, 2012

ANDOVER EQUITY ASSOCIATES

RIA

CRD#: 106254

ANDOVER, MA

Past

September 27, 2006 - December 31, 2007

MASSACHUSETTS WEALTH MANAGEMENT, INC

RIA

CRD#: 141734

ANDOVER, MA

Past

May 23, 2006 - September 9, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

ANDOVER, MA

Past

February 8, 2001 - September 9, 2008

LPL FINANCIAL LLC

CRD#: 6413

ANDOVER, MA

Past

July 6, 1998 - February 9, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 17, 1998 - June 11, 1998

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

February 21, 1996 - December 15, 1997

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

May 5, 1993 - September 1, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

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".

MASSACHUSETTS WEALTH MANAGEMENT, LLC

ANDOVER INVESTMENT ADVISORS, LLC | MASSACHUSETTS WEALTH MANAGEMENT, LLC

CRD#: 160235 / SEC#: 801-112083

RIA

Registered Investment Advisory firm - (11/29/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (11/30/2017 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2017 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).

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
(1/17/2012)

IAR

New Hampshire
(1/5/2016)

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 66

Date: 5/18/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/2004

General Securities Principal Examination

Current Firm

MASSACHUSETTS WEALTH MANAGEMENT, LLC

ANDOVER INVESTMENT ADVISORS, LLC | MASSACHUSETTS WEALTH MANAGEMENT, LLC

CRD#: 160235 / SEC#: 801-112083

RIA

Registered Investment Advisory firm - (11/29/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (11/30/2017 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2017 Terminated)

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Contact information

Main Address

807 Turnpike Street, North Andover, MA 01845

Mailing Address

Phone number

(978) 685-1050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A-FIRM BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	499
AUM (Assets Under Management)	$ 251,566,597

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/26/2025	Cover Page	Report
04/10/2024	Cover Page	Report
01/25/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Samuel J. Conte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel James Conte II's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDOVER EQUITY ASSOCIATES

MASSACHUSETTS WEALTH MANAGEMENT, INC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NEW ENGLAND SECURITIES

LOCUST STREET SECURITIES, INC.

SECURITIES AMERICA, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

MASSACHUSETTS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2006

Series 63

Date: 5/7/1993

Series 7

Date: 4/26/2002

Series 6

Date: 5/4/1993

Series 24

Date: 4/26/2004

Current Firm

MASSACHUSETTS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MASSACHUSETTS WEALTH MANAGEMENT, LLC

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