John P. Cogswell

MARINER

Boston, MA 02210

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CRD#: 2674161

Professional summary

John Patrick Cogswell JR, CFA is a registered financial advisor currently at MARINER located in Boston, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 65, Series 63, SIE 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.

Name: Baystate Wealth Management Inv rel: Y Add: 200 Clarendon Street 25th Floor Boston MA 02116 Nature: Independent Investment Advisor (nonCRIA) Position: Other - Chief Market Strategist Start date: 02/01/2010 No. HR/MO: 160 No. HR/MO during sec trading: 160 Describe duties: Portfolio Manager Baystate Wealth Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Cogswell JR'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®

CFA

Chartered Financial Analyst

Experience

Current

February 11, 2010 - Present

MARINER

Office #1: One Marina Park Drive 16th Floor, Boston, MA 02210

RIA

CRD#: 151664

Boston, MA

Past

March 25, 2017 - December 31, 2017

MML INVESTORS SERVICES, LLC

CRD#: 4

ST. LOUIS, MO

Past

December 14, 1995 - January 22, 1999

GRUNTAL & CO., L.L.C.

CRD#: 372

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".

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 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
(2/11/2010)

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: 7/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/1995

General Securities Representative Examination

Current Firm

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 Terminated)

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Contact information

Main Address

5700 West 112th Street Suite 500, Overland Park,, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX I WRAP FEE PROGRAM (3/28/2025)

BAYSTATE WEALTH MANAGMENT, LLC. ADV PART2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,559
AUM (Assets Under Management)	$ 2,352,770,746

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

John P. Cogswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Cogswell JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

E*TRADE SECURITIES LLC

KOBREN INSIGHT MANAGEMENT INC

KOBREN INSIGHT BROKERAGE, INC

A. G. EDWARDS & SONS, INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

MARINER

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2001

Series 63

Date: 11/3/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/26/1995

Current Firm

MARINER

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARINER

TRUST BUT VERIFY

Contact information

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