Robert E. Pickett

NORTHERN CAPITAL SECURITIES

North Andover, MA 01845

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CRD#: 6866721

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

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

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.

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.

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

Massachusetts
(3/2/2020)

IAR

Massachusetts
(3/23/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

FINRA licenses (25 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OLDAKER, DAVID GRANT	CHIEF EXECUTIVE OFFICER	2606043
OLDAKER, DAVID GRANT	CHIEF COMPLIANCE OFFICER	2606043
RYE, STEPHEN GILBERT	PRESIDENT	2127156

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.

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Robert E. Pickett

Professional summary

Question & Answer

Aliases

Other business activities

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

Experience

NORTHERN CAPITAL SECURITIES CORPORATION

NORTHERN CAPITAL SECURITIES CORPORATION

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2017

FINRA

Current Firm

NORTHERN CAPITAL SECURITIES CORPORATION

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NORTHERN CAPITAL SECURITIES CORPORATION

TRUST BUT VERIFY

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