Ali D. Laflamme

PALLAS CAPITAL ADVISORS

Braintree, MA 02184

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CRD#: 5311734

Professional summary

Ali Danielle Laflamme, who also goes by Ali D Laflamme, Ali D Mac Carthy, Ali D Maccarthy, Ali Danielle Wilhoit, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Wakefield, Massachusetts.

Ali is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Ali 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

Ali D Laflamme | Ali D Mac Carthy | Ali D Maccarthy | Ali Danielle Wilhoit

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) Pallas Capital Advisors; Investment Related; 45 Braintree Hill Office Park Ste 201 Braintree MA 02184; Director of Operations; 5/14/2021; 200 hrs/mo; 150 hrs during trading; Processing client requests, opening new accounts, managing other Operations team members, generating client reports, researching client inquiries, entering some trades for clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ali Danielle Laflamme'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

May 14, 2021 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

RIA

CRD#: 310327

Braintree, MA

Current

May 14, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 701 Edgewater Drive Suite 140, Wakefield, MA 01880

CRD#: 35747

Wakefield, MA

Past

May 18, 2018 - May 25, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BOSTON, MA

Past

May 18, 2018 - May 25, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOSTON, MA

Past

February 27, 2018 - May 12, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

SOUTH PORTLAND, ME

Past

February 26, 2018 - May 12, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

February 26, 2018 - May 12, 2018

TD AMERITRADE, INC.

CRD#: 7870

SOUTH PORTLAND, ME

Past

March 23, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

May 19, 2010 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

SOUTH PORTLAND, ME

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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.

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

Massachusetts
(5/14/2021)

IAR

Massachusetts
(5/14/2021)

New Hampshire
(5/14/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/23/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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

Ali D. Laflamme

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ali Danielle Laflamme's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2017

Series 63

Date: 6/11/2010

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2010

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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