Adam J. Sureau

OKEMO CAPITAL MANAGEMENT

Stow, MA 01775

Some features on this profile are disabled

CRD#: 5712679

Professional summary

Adam Joseph Sureau is a registered financial advisor currently at OKEMO CAPITAL MANAGEMENT, LLC located in Stow, Massachusetts.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Adam has worked at 3 firms and has passed the Series 66, Series 31 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)BRICK CAPITAL, LLC-LIMITED LIABILITY COMPANY. REAL ESTATE-SOLE OWNER-MULTIFAMILY PROPERTY OWNER AND SELF MANAGER. PROPERTY MANAGER 2)SUREAU LIMITED PARTNERSHIP; 269 BOXBORO RD; STOW, MA; COMMENCE DATE: 05/30/2012; 0 HRS SPENT, LIMITED PARTNER; "IT IS A FAMILY PLANNING VEHICLE WHICH OWNS 15% OF RADANT TECHNOLOGIES, INC. NO RESPONSIBILITIES AS A LIMITED PARTNER"

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Joseph Sureau'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®

None

Experience

Current

October 25, 2012 - Present

OKEMO CAPITAL MANAGEMENT, LLC

Office #1: 132 Great Rd. Suite 200, Stow, MA 01775

RIA

CRD#: 165816

Stow, MA

Past

August 4, 2010 - October 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

August 4, 2010 - October 10, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

November 20, 2009 - August 17, 2010

MORGAN STANLEY

RIA

CRD#: 149777

BOSTON, MA

Past

October 30, 2009 - August 17, 2010

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

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
(10/25/2012)

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 66

Date: 11/19/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 12/15/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/29/2009

General Securities Representative Examination

Current Firm

OKEMO CAPITAL MANAGEMENT, LLC

CRD#: 165816 / SEC#:

Massachusetts

Registered Investment Advisory firm - (10/25/2012 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

132 Great Rd. Suite 200, Stow, MA 01775

Mailing Address

Phone number

(978) 897-0600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 91,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Adam J. Sureau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Joseph Sureau's CRS (Customer Relationship Summary).

Certified licenses

Experience

OKEMO CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2009

Series 31

Date: 12/15/2009

Series 7

Date: 10/29/2009

Current Firm

OKEMO CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OKEMO CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors