Ethan W. Sales
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ethan Waterman Sales was a registered financial professional .
Ethan is a previously registered financial professional and started their career in finance in 2013. Ethan had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - May 14, 2018
BOSTON FINANCIAL MANAGEMENT LLC
November 18, 2013 - May 13, 2016
EMERSON INVESTMENT MANAGEMENT LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
BOSTON FINANCIAL MANAGEMENT LLC
CRD#: 112360 / SEC#: 801-11178
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,056 |
| AUM (Assets Under Management) | $ 5,013,997,070 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 09/20/2023 | ||
| 12/19/2022 |
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.
