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RP

Robert E. Pickett

NORTHERN CAPITAL SECURITIES
NORTH ANDOVER, MA 01845
CRD#: 6866721
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RP
Robert Edward PickettNORTHERN CAPITAL SECURITIES

Professional summary

Robert Edward Pickett, CFP® is a registered financial advisor currently at NORTHERN CAPITAL SECURITIES CORPORATION located in North Andover, Massachusetts.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Robert has worked at 3 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Edward Pickett's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Edward Pickett'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®
CFP®

Certified Financial Planner

Experience

Current

March 23, 2020 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845Office #2: 50 High Street 4th Floor, North Andover, MA 01845
RIA
BD
CRD#: 40659
NORTH ANDOVER, MA
Current

March 2, 2020 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845Office #2: 50 High Street 4th Floor, North Andover, MA 01845
RIA
BD
CRD#: 40659
NORTH ANDOVER, MA
Past

January 24, 2018 - January 24, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Biddeford, ME
Past

December 13, 2017 - January 24, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Biddeford, ME

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
Massachusetts
(3/2/2020)
IAR
Massachusetts
(3/23/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/24/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTHERN CAPITAL SECURITIES CORPORATION
NORTHERN CAPITAL SECURITIES CORPORATION | SCOTT, STARR SECURITIES, INC.

CRD#: 40659 / SEC#: , 8-49130

Massachusetts
Registered Investment Advisory firm - SEC (2/6/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 High Street 4th Floor, North Andover, MA 01845
Mailing Address
50 High Street 4th Floor, North Andover, MA 01845
Phone number
(978) 289-1000
Established
Massachusetts since 02/16/1996
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
15

FINRA licenses (25 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OLDAKER, DAVID GRANTCHIEF EXECUTIVE OFFICER2606043
OLDAKER, DAVID GRANTCHIEF COMPLIANCE OFFICER2606043
RYE, STEPHEN GILBERTPRESIDENT2127156
0

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

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659North Andover, MA 01845

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