CL
Carleton R. Ladd
MOORS & CABOT
BOSTON, MA 02110
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CRD#: 300317
CL
Professional summary
Carleton Richmond Ladd is a registered financial professional currently at MOORS & CABOT, INC. located in Boston, Massachusetts.
Carleton is registered as a RR (Registered Representative) and started their career in finance in 1985. Carleton has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 15, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Carleton Richmond Ladd'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
June 26, 2003 - Present
MOORS & CABOT, INC.
Office #1: One Federal Street 19th Floor, Boston, MA 02110RIA
BD
CRD#: 594
BOSTON, MA
Past
March 9, 2002 - July 8, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 11, 1985 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
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.
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(3/22/2006)
RR
Arkansas(5/22/2025)
RR
California(6/26/2003)
RR
Colorado(6/26/2003)
RR
Connecticut(6/26/2003)
RR
District of Columbia(2/7/2013)
RR
Florida(6/26/2003)
RR
Georgia(2/7/2013)
RR
Idaho(6/26/2003)
RR
Illinois(10/22/2007)
RR
Iowa(5/22/2025)
RR
Louisiana(4/13/2023)
RR
Maine(7/15/2003)
RR
Maryland(6/26/2003)
RR
Massachusetts(6/26/2003)
RR
Michigan(10/27/2023)
RR
Missouri(1/3/2006)
RR
Montana(2/7/2013)
RR
Nevada(6/19/2019)
RR
New Hampshire(6/26/2003)
RR
New Jersey(2/7/2013)
RR
New Mexico(2/7/2013)
RR
New York(6/26/2003)
RR
North Carolina(8/11/2003)
RR
Ohio(5/23/2025)
RR
Oregon(5/6/2010)
RR
Pennsylvania(6/26/2003)
RR
Rhode Island(6/26/2003)
RR
South Carolina(8/25/2016)
RR
South Dakota(2/7/2013)
RR
Texas(6/24/2005)
RR
Vermont(6/26/2003)
RR
Virginia(6/26/2003)
RR
Washington(2/7/2013)
RR
Wisconsin(10/22/2013)
RR
Wyoming(12/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/25/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 3/1/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 3/21/1967
Registered Representative ExaminationSRO Registrations
RR
FINRA
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)
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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
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