SH
Shawn P. Harrington
BAY COLONY ADVISORS
MANCHESTER CENTER, VT
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CRD#: 4159172
SH
Professional summary
Shawn Paul Harrington is a registered financial advisor currently at BAY COLONY ADVISORS located in Manchester Center, Vermont.
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Shawn has worked at 7 firms and has passed the Series 66, Series 55, Series 7, Series 4 and Series 24 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.
MANCHESTER HISTORICAL SOCIETY, NON INVESTMENT-RELATED, MANCHESTER VT, CURATOR, 10/2016, 40 HRS/MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Paul Harrington'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
October 3, 2016 - Present
BAY COLONY ADVISORS
RIA
CRD#: 152583
MANCHESTER CENTER, VT
Past
December 20, 2012 - February 22, 2016
HAGIN INVESTMENT MANAGEMENT
RIA
CRD#: 142610
MANCHESTER, VT
Past
March 1, 2010 - June 6, 2014
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
RIA
CRD#: 145331
ALBANY, NY
Past
January 29, 2009 - September 14, 2009
VANGUARD CAPITAL
BD
CRD#: 22081
MANCHESTER CENTER, VT
Past
January 13, 2005 - December 31, 2009
BATTENKILL CAPITAL MANAGEMENT
RIA
CRD#: 129871
MANCHESTER CENTER, VT
Past
September 28, 2004 - January 15, 2009
BATTENKILL CAPITAL, INC.
BD
CRD#: 131548
MANCHESTER CENTER, VT
Past
February 20, 2004 - August 5, 2004
ABSOLUTE RETURN ADVISORS, LTD.
RIA
CRD#: 42938
MANCHESTER CENTER, VT
Past
July 3, 2000 - August 5, 2004
ABSOLUTE RETURN ADVISORS, LTD.
BD
CRD#: 42938
MANCHESTER CENTER, VT
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
Vermont(10/3/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 8/29/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
