Francis E. Remeika

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CRD#: 373994

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Francis Edward Remeika was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1969. Francis had worked at 9 firms and has passed the Series 63, Series 000, Series 1 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 1, 2002 - December 31, 2025

MAD RIVER INVESTORS

RIA

CRD#: 130585

BOSTON, MA

Past

October 23, 1998 - September 4, 2013

BOLTON GLOBAL CAPITAL

CRD#: 15650

BOSTON, MA

Past

January 28, 1991 - November 5, 1996

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

September 4, 1985 - July 11, 1990

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

CRD#: 14647

Past

May 10, 1984 - June 6, 1985

WINTHROP SECURITIES CO., INC.

CRD#: 6925

Past

July 8, 1983 - May 9, 1984

BLAIR, REMEIKA & COMPANY

CRD#: 13744

Past

November 14, 1972 - March 3, 1979

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

April 1, 1969 - November 14, 1972

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

CRD#: 243

Past

March 28, 1969 - June 30, 1983

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

MAD RIVER INVESTORS

MAD RIVER ADVISORS | MRM-HORIZON ADVISORS, LLC | MAD RIVER INVESTORS

CRD#: 130585 / SEC#: 801-62991

RIA

Registered Investment Advisory firm - (4/22/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (6/23/2004 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 7/10/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 000

Date: 3/28/1969

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 3/28/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 39

Date: 6/14/1983

Direct Participation Programs Principal Examination

Current Firm

MAD RIVER INVESTORS

MAD RIVER ADVISORS | MRM-HORIZON ADVISORS, LLC | MAD RIVER INVESTORS

CRD#: 130585 / SEC#: 801-62991

RIA

Registered Investment Advisory firm - (4/22/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (6/23/2004 Terminated)

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Contact information

Main Address

84 State Street, Suite 1060, Boston, MA 02109

Mailing Address

Phone number

(617) 728-0333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PARTS 2A AND 2B MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 338,329,107

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

Francis E. Remeika

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MAD RIVER INVESTORS

BOLTON GLOBAL CAPITAL

H.C.WAINWRIGHT & CO., LLC

HOMANS, MCGRAW, TRULL, VALEO & CO., INC.

WINTHROP SECURITIES CO., INC.

BLAIR, REMEIKA & COMPANY

BLYTH EASTMAN DILLON & CO. INCORPORATED

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

MAD RIVER INVESTORS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1979

Series 000

Date: 3/28/1969

Series 1

Date: 3/28/1969

Series 39

Date: 6/14/1983

Current Firm

MAD RIVER INVESTORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAD RIVER INVESTORS

TRUST BUT VERIFY

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