CS
Catherine A. Smith
NOBSCOT INVESTMENT MANAGEMENT LLC
WELLESLEY, MA 02482
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CRD#: 4327812
CS
Professional summary
Catherine Anne Smith is a registered financial advisor currently at NOBSCOT INVESTMENT MANAGEMENT LLC located in Wellesley, Massachusetts.
Catherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Catherine has worked at 1 firm .
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.
Ms. Smith participates in the Eastern Bank Wealth Management Investment Advisory Committee, an informal discussion group, hosted by the Chief Investment Officer of Eastern Bank Wealth Management, a division of Eastern Bank. The Committee, which consists of Eastern Bank executives and non-Eastern Bank investment professionals, meets on a quarterly basis to discuss broad economic and investment perspectives. Eastern Bank Wealth Management is located at 265 Franklin Street, Boston, Massachusetts, and provides financial planning, portfolio management and fiduciary services to individuals and businesses. Ms. Smith has no position, title, or specific role with regards to the Committee. Participation in the Committee is voluntary and by invitation of the Chief Investment Officer, and the Committee meets quarterly, generally virtually, at lunch time. The Committee does not discuss active investment decisions or recommendations of Eastern Bank. Ms. Smith commenced participation in the Committee in April 2017, and typically spends 1/2 hour per month (6 hours per annum) related to participation in the Committee. Ms. Smith has no stated duties with respect to the Investment Committee. Ms. Smith receives a small honorarium for those meetings in which she is in attendance.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Anne 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®
NoneExperience
Current
April 27, 2016 - Present
NOBSCOT INVESTMENT MANAGEMENT LLC
Office #1: 572 Washington Street Suite 4, Wellesley, MA 02482RIA
CRD#: 283289
WELLESLEY, 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".
NI
NOBSCOT INVESTMENT MANAGEMENT LLC
NOBSCOT INVESTMENT MANAGEMENT LLC
CRD#: 283289 / SEC#: 801-131154
RIA
Registered Investment Advisory firm - (9/20/2024 Approved)Massachusetts
Registered Investment Advisory firm - (9/20/2024 Terminated)Texas
Registered Investment Advisory firm - (9/20/2024 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(4/27/2016)
Exams
Current Firm
NI
NOBSCOT INVESTMENT MANAGEMENT LLC
NOBSCOT INVESTMENT MANAGEMENT LLC
CRD#: 283289 / SEC#: 801-131154
RIA
Registered Investment Advisory firm - (9/20/2024 Approved)Massachusetts
Registered Investment Advisory firm - (9/20/2024 Terminated)Texas
Registered Investment Advisory firm - (9/20/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
572 Washington Street Suite 4, Wellesley, MA 02482
Mailing Address
P.o. Box 812074, Wellesley, MA 02482
Phone number
(781) 237-2700
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 143,828,104 |
Red Flags
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Company Information
NOBSCOT INVESTMENT MANAGEMENT LLC
CRD#: 283289Wellesley, MA 02482TRUST BUT VERIFY
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