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CC

Craig E. Cormier

Some features on this profile are disabled
CRD#: 4013495
CC

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.

Craig E Cormier was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 2003. Craig had worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

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

December 10, 2009 - July 22, 2015

CHARLES RIVER BROKERAGE, LLC

BD
CRD#: 132267
BURLINGTON, MA
Past

February 27, 2008 - May 16, 2008

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

March 10, 2004 - February 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

December 17, 2003 - February 6, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/22/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2003
General Securities Representative Examination

Current Firm

CR
CHARLES RIVER BROKERAGE, LLC
CHARLES RIVER BROKERAGE, LLC

CRD#: 132267 / SEC#: , 8-66578

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
700 District Ave 4th Floor, Burlington, MA 01803
Mailing Address
700 District Ave 4th Floor, Burlington, MA 01803
Phone number
(617) 664-3619
Established
Massachusetts since 03/25/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHARLES RIVER SYSTEMS, INC.PARENT
LONG, GREGORY MICHAELMANAGER6579935
TENORIO, EDITHA VFINOP/MANAGER6755490
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER / MANAGER4856280

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

CHARLES RIVER BROKERAGE, LLC

CRD#: 132267

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