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Dennis N. Caulfield

BOSTON HARBOR INVESTMENT MANAGEMENT
BEDFORD, MA 01730-2729
CRD#: 6132687
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DC
Dennis Neil CaulfieldBOSTON HARBOR INVESTMENT MANAGEMENT

Professional summary

Dennis Neil Caulfield, who also goes by Caulfield Neil Dennis, is a registered financial advisor currently at BOSTON HARBOR INVESTMENT MANAGEMENT located in Bedford, Massachusetts.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Dennis has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Caulfield Neil Dennis

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 Dennis Neil Caulfield'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

January 2, 2013 - Present

BOSTON HARBOR INVESTMENT MANAGEMENT

Office #1: 110 Great Road Suite 302, Bedford, MA 01730-2729
RIA
CRD#: 165554
BEDFORD, 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
(1/2/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/27/2012
Uniform Investment Adviser Law Examination

Current Firm

BH
BOSTON HARBOR INVESTMENT MANAGEMENT
BOSTON HARBOR INVESTMENT MANAGEMENT | BOSTON HARBOR INVESTMENT MANAGEMENT, LLC

CRD#: 165554 / SEC#:

Massachusetts
Registered Investment Advisory firm - (1/2/2013 Approved)
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Contact information

Main Address
110 Great Road Suite 302, Bedford, MA 01730-2729
Mailing Address
Phone number
(978) 290-0816
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts24
AUM (Assets Under Management)$ 15,159,478

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.

Company Information

BOSTON HARBOR INVESTMENT MANAGEMENT

CRD#: 165554Bedford, MA 01730-2729

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