AB
Adam Bateman
FLAGSHIP HARBOR ADVISORS
NORTH ANDOVER, MA 01845
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CRD#: 5412669
AB
Professional summary
Adam Bateman 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.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 4 firms and has passed the Series 66, 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.
(1) 12/02/2013: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - term, life, disability, LTC, fixed annuities
(2) 12/02/2013: Flagship Harbor Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent
(3) 12/06/2013: Flagship Harbor Advisors, LLC - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - Started 12/12/2013 - 50% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, LLC, an independent investment advisor firm. I started this business activity in December 12, 2013. I expect to spend approximately 50% of my time 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.
(4) 1/16/2020 - Northern Peak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 40 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Bateman'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
December 2, 2013 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 867 Turnpike Street Suite 216, North Andover, MA 01845RIA
CRD#: 155733
NORTH ANDOVER, MA
Current
December 3, 2013 - Present
LPL FINANCIAL LLC
Office #1: 867 Turnpike St, Suite 216, North Andover, MA 01845RIA
BD
CRD#: 6413
North Andover, MA
Past
May 26, 2009 - December 5, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DANVERS, MA
Past
May 14, 2009 - December 5, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DANVERS, MA
Past
November 19, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MANCHESTER, NH
Past
October 15, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MANCHESTER, NH
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(1/12/2022)
RR
Connecticut(12/3/2013)
RR
Florida(12/3/2013)
RR
Indiana(6/28/2016)
RR
Maine(12/3/2013)
RR
Maryland(12/5/2013)
IAR
Massachusetts(12/2/2013)
RR
Massachusetts(12/3/2013)
RR
Michigan(5/18/2015)
RR
Nevada(3/16/2020)
RR
New Hampshire(12/3/2013)
RR
New Jersey(1/5/2022)
RR
New York(9/15/2014)
RR
North Carolina(1/6/2022)
RR
Ohio(1/7/2022)
RR
Pennsylvania(11/2/2021)
RR
South Carolina(10/25/2018)
RR
Texas(7/1/2014)
RR
Utah(2/23/2021)
RR
Vermont(1/5/2022)
RR
Virginia(5/14/2015)
Exams
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
