KS
Kevin M. Smith
FLAGSHIP HARBOR ADVISORS
NORTH ANDOVER, MA 01845
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CRD#: 4316367
KS
Professional summary
Kevin Michael Smith, CFP®, who also goes by Kevin M Smith, Kevin M. Smith, is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in North Andover, Massachusetts and LPL FINANCIAL LLC located in North Andover, Massachusetts.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin M Smith | Kevin M. Smith
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. 06/15/15-NON-VARIABLE INSURANCE/5%/FIXED, LIFE, LTC, DI, FIXED ANNUITIES/BOSTON,MA
2. 06/15/2015 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - NORTHERN PEAK WEALTH MANAGEMENT - INV REL - 346 COMMERCIAL ST. BOSTON MA 02109 - TIME SPENT 100%
3. 08/24/2016 * Flagship Harbor Advisors, LLC. * Registered Investment Advisor * (Hybrid) Flagship Harbor Advisors, LLC. * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 06/15/2015 * I provide investment advisory services through "Flagship Harbor Advisors", an independent investment advisor firm. I started this business activity in 06/2015 . I expect to spend approximately 160 hr per month spent on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. * 160 HRS/MO.
4. 4/3/2019 - No Business Name - Investment Related - Newry ME - Real Estate Rental - Started 01/01/2019 - 0 Hours Per Month - This is a ski cabin that is rented part of the year.
5. 2/6/2020 - Northern Peak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/04/2020 - 40 Hours Per Month During Securities Trading.
6. 3/19/2020 - No Business Name - Not Investment Related - 867 Turnpike Street, Suite 214 & 216, North Andover, MA 01845 - Real Estate Rental - Started 02/03/2020 - 5 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Smith'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®
Experience
Current
June 25, 2015 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 867 Turnpike Street Suite 216, North Andover, MA 01845RIA
CRD#: 155733
NORTH ANDOVER, MA
Current
June 15, 2015 - Present
LPL FINANCIAL LLC
Office #1: 867 Turnpike St, Suite 216, North Andover, MA 01845RIA
BD
CRD#: 6413
North Andover, MA
Past
October 18, 2013 - July 1, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BOSTON, MA
Past
October 18, 2013 - July 1, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
August 30, 2010 - October 24, 2013
MORGAN STANLEY
RIA
CRD#: 149777
BOSTON, MA
Past
August 19, 2010 - October 24, 2013
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
January 1, 2009 - October 16, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
NORTH ANDOVER, MA
Past
November 28, 2006 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
January 17, 2001 - November 3, 2006
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)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.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
California(9/20/2016)
RR
Connecticut(6/19/2015)
RR
Florida(10/10/2017)
RR
Georgia(11/20/2017)
RR
Indiana(7/6/2021)
RR
Massachusetts(6/15/2015)
IAR
Massachusetts(6/25/2015)
RR
New Hampshire(8/17/2015)
RR
New Jersey(10/27/2016)
RR
New York(7/20/2023)
RR
North Carolina(4/26/2017)
RR
Ohio(1/7/2022)
RR
Pennsylvania(11/16/2021)
RR
South Carolina(1/20/2022)
RR
Texas(11/16/2021)
RR
Vermont(11/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733North Andover, MA 01845TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
