Robert E. Cusack

CANTON HATHAWAY LLC

Providence, RI 02903

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CRD#: 716107

Professional summary

Robert Emmet Cusack JR is a registered financial advisor currently at CANTON HATHAWAY LLC located in Providence, Rhode Island.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Robert has worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 24 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) EMB, LLC. NOT investment related. One West Exchange Street, Suite 3202, Providence, RI 02903. Financial administration. Chief Financial Officer. Started 02/2018. Works for EMB 128 hours/month, about half of which is during trading hours. Roles at EMB include supervision of financial administration services. (2)Tobacco Settlement Financial Corp, not investment related, 1 Capitol Hill Providence RI 02908, non-profit, Board secretary, 07/2002, approx. 1hr/mo during trading hours, conducting administrative tasks.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Emmet Cusack JR's CRS (Customer Relationship Summary).

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 17, 2019 - Present

CANTON HATHAWAY LLC

Office #1: One West Exchange Street Suite 3202, Providence, RI 02903

RIA

CRD#: 297527

Providence, RI

Past

December 4, 2012 - March 1, 2018

WHALEROCK POINT PARTNERS, LLC

RIA

CRD#: 140781

PROVIDENCE, RI

Past

May 19, 2009 - March 28, 2012

NEWPORT INVESTMENT MANAGEMENT LLC

RIA

CRD#: 149405

PROVIDENCE, RI

Past

March 30, 2005 - December 31, 2009

PREFERRED ASSET MANAGEMENT, LLC

RIA

CRD#: 129039

PROVIDENCE, RI

Past

May 24, 2003 - August 11, 2003

VANTAGE ADVISORS, LLC

RIA

CRD#: 126844

BOSTON, MA

Past

January 13, 1997 - May 7, 1999

PREFERREDTRADE, INC.

CRD#: 10993

SAN FRANCISCO, CA

Past

August 30, 1990 - January 5, 1995

VAN LIEW SECURITIES, INC.

CRD#: 25332

PROVIDENCE, RI

Past

October 27, 1983 - May 7, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 26, 1980 - November 22, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CANTON HATHAWAY LLC

CRD#: 297527 / SEC#: 801-113544

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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

Florida
(3/13/2023)

IAR

Rhode Island
(1/17/2019)

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 65

Date: 3/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/7/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/1990

General Securities Principal Examination

Current Firm

CANTON HATHAWAY LLC

CRD#: 297527 / SEC#: 801-113544

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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Contact information

Main Address

One West Exchange Street Suite 3202, Providence, RI 02903

Mailing Address

Phone number

(401) 433-7800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ANNUAL AMENDMENT BROCHURE 6/25 (6/16/2025)

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 672,683,658

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/30/2025	Cover Page	Report
01/16/2025	Cover Page	Report
11/01/2023	Cover Page	Report
01/06/2023	Cover Page	Report

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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Firm Stability Insights

Robert E. Cusack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Emmet Cusack JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHALEROCK POINT PARTNERS, LLC

NEWPORT INVESTMENT MANAGEMENT LLC

PREFERRED ASSET MANAGEMENT, LLC

VANTAGE ADVISORS, LLC

PREFERREDTRADE, INC.

VAN LIEW SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CANTON HATHAWAY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/1995

Series 63

Date: 10/2/1980

Series 3

Date: 3/7/1983

Series 5

Date: 12/12/1981

Series 7

Date: 9/20/1980

Series 24

Date: 9/27/1990

Current Firm

CANTON HATHAWAY LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CANTON HATHAWAY LLC

TRUST BUT VERIFY

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