Claude R. Perrier

HARPSWELL CAPITAL ADVISORS

YARMOUTH, ME 04096

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CRD#: 4557418

Professional summary

Claude Robert Perrier is a registered financial advisor currently at HARPSWELL CAPITAL ADVISORS, LLC located in Yarmouth, Maine.

Claude is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Claude has worked at 4 firms and has passed the Series 65 and Series 3 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 Claude Robert Perrier'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

February 3, 2016 - Present

HARPSWELL CAPITAL ADVISORS, LLC

Office #1: 500 Us Route 1 Suite 203, Yarmouth, ME 04096

RIA

CRD#: 168996

YARMOUTH, ME

Past

October 3, 2012 - December 8, 2015

BMO FAMILY OFFICE, LLC

RIA

CRD#: 110264

PORTSMOUTH, NH

Past

May 22, 2008 - July 23, 2012

CTC CONSULTING, LLC

RIA

CRD#: 147053

PORTSMOUTH, NH

Past

May 25, 2004 - May 30, 2008

CTC CONSULTING, INC.

RIA

CRD#: 107079

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".

HARPSWELL CAPITAL ADVISORS, LLC

CRD#: 168996 / SEC#: 801-110825

RIA

Registered Investment Advisory firm - (7/17/2017 Approved)

Maine

Registered Investment Advisory firm - (7/25/2017 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

Maine
(2/3/2016)

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: 7/20/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 2/26/2013

National Commodity Futures Examination

Current Firm

HARPSWELL CAPITAL ADVISORS, LLC

CRD#: 168996 / SEC#: 801-110825

RIA

Registered Investment Advisory firm - (7/17/2017 Approved)

Maine

Registered Investment Advisory firm - (7/25/2017 Terminated)

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Contact information

Main Address

500 Us Route 1 Suite 203, Yarmouth, ME 04096

Mailing Address

Phone number

(207) 926-1380

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

HARPSWELL CAPITAL ADVISORS CRP FORM ADV PART 2B SUPPLEMENT (3/24/2025)

HARPSWELL CAPITAL ADVISORS - BROCHURE ADV (3/24/2025)

HARPSWELL CAPITAL ADVISORS JPM FORM ADV PART 2B SUPPLEMENT (3/24/2025)

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 497,419,486

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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Claude R. Perrier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claude Robert Perrier's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARPSWELL CAPITAL ADVISORS, LLC

BMO FAMILY OFFICE, LLC

CTC CONSULTING, LLC

CTC CONSULTING, INC.

Primary Firm SEC Registration

HARPSWELL CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/20/2000

Series 3

Date: 2/26/2013

Current Firm

HARPSWELL CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARPSWELL CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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