EV
Elizabeth M. Vallone
ESSENTIAL ASSET MANAGEMENT
Norwell, MA 02061
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CRD#: 4137574
EV
Professional summary
Elizabeth Mary Vallone MS. is a registered financial advisor currently at ESSENTIAL ASSET MANAGEMENT, LLC located in Norwell, Massachusetts and BAY COLONY ADVISORS located in Norwell, Massachusetts.
Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Elizabeth has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 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.�Independent�Insurance�Agent,�of�Essential�Asset�Management,�LLC���1�5�hrs/month�
2.�Essential�Asset�Management,�LLC ("EAM"),�Investment -Related,�Reported�Location,�Registered�Investment�Advisor,�Investment�Advisor�Representative,�05/2015,
Hours�in�conjunction�with�Bay�Colony�Advisors
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Mary Vallone MS.'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
July 28, 2015 - Present
ESSENTIAL ASSET MANAGEMENT, LLC
Office #1: 167 Washington Street Office 14, Norwell, MA 02061RIA
CRD#: 158817
Norwell, MA
Current
September 9, 2015 - Present
BAY COLONY ADVISORS
Office #1: 167 Washington Street, Norwell, MA 02061RIA
CRD#: 152583
NORWELL, MA
Past
June 9, 2005 - September 10, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
BOSTON, MA
Past
August 4, 2003 - May 31, 2005
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
FRAMINGHAM, MA
Past
July 2, 2003 - May 31, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
September 7, 2000 - July 2, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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".
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)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(7/28/2015)
IAR
Texas(2/23/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
86 Baker Avenue Extension Suite 310, Concord, MA 01742
Mailing Address
Phone number
(978) 369-7200
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,039 |
| AUM (Assets Under Management) | $ 1,263,305,046 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/06/2025 | ||
| 09/25/2024 | ||
| 10/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BAY COLONY ADVISORS
CRD#: 152583Norwell, MA 02061TRUST BUT VERIFY
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