Trevor H. Dean

CANOPY CAPITAL GROUP

Winchester, MA 01890

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CRD#: 4444389

Professional summary

Trevor Harrison Dean is a registered financial advisor currently at CANOPY CAPITAL GROUP located in Winchester, Massachusetts.

Trevor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Trevor has worked at 8 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trevor Harrison Dean's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 15, 2024 - Present

CANOPY CAPITAL GROUP

Office #1: 28 Church St Suite 4, Winchester, MA 01890

RIA

CRD#: 326730

Winchester, MA

Past

September 12, 2018 - February 15, 2021

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

February 13, 2018 - February 15, 2021

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

June 20, 2017 - June 30, 2017

RACE ROCK CAPITAL LLC

CRD#: 153363

BOSTON, MA

Past

July 21, 2008 - December 31, 2013

COMPASS SECURITIES CORPORATION

CRD#: 16168

NEWTON LOWER FALLS, MA

Past

March 10, 2008 - July 14, 2008

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

April 8, 2004 - January 9, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

BOSTON, MA

Past

October 5, 2001 - April 14, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

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".

CANOPY CAPITAL GROUP

CANOPY | GOLDENX COMPANY | CANOPY CAPITAL GROUP

CRD#: 326730 / SEC#: 801-133980

RIA

Registered Investment Advisory firm - (7/28/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (8/6/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(10/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/9/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2001

General Securities Representative Examination

Current Firm

CANOPY CAPITAL GROUP

CANOPY | GOLDENX COMPANY | CANOPY CAPITAL GROUP

CRD#: 326730 / SEC#: 801-133980

RIA

Registered Investment Advisory firm - (7/28/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (8/6/2025 Terminated)

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Contact information

Main Address

28 Church St Suite 4, Winchester, MA 01890

Mailing Address

Phone number

(781) 222-3972

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANOPY CAPITAL GROUP ADV PART 2A MARCH 2025 (6/26/2025)

Regulatory assets under management

Total Number of Accounts	99
AUM (Assets Under Management)	$ 482,936,979

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.

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Advisor Monitoring

Firm Stability Insights

Trevor H. Dean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trevor Harrison Dean's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RACE ROCK CAPITAL LLC

COMPASS SECURITIES CORPORATION

NATIXIS DISTRIBUTION, LLC

J.P. MORGAN SECURITIES LLC

HSBC BROKERAGE (USA) INC.

Primary Firm SEC Registration

CANOPY CAPITAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2024

Series 63

Date: 4/24/2018

Series 66

Date: 1/3/2002

Series 7TO

Date: 1/9/2024

SIE

Date: 10/1/2018

Series 7

Date: 10/4/2001

Current Firm

CANOPY CAPITAL GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANOPY CAPITAL GROUP

TRUST BUT VERIFY

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