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93 FINANCIAL GROUP, LLC
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93 FINANCIAL GROUP, LLC
(CRD# 144235)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Woburn, MA.
The SEC approved the firm to operate as an RIA in
May 2013.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$326.0 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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93 FINANCIAL GROUP, LLC
also reported in
Mar 2018:
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7
employees,
with
4
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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93 FINANCIAL GROUP, LLC has one or more disclosure events currently on file with the SEC.
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93 FINANCIAL GROUP, LLC has Notice Filings with the following State Securities Authorities:
CA-Sep 2015, FL-May 2013, MA-May 2013, ME-May 2013, NH-May 2013
, PA-Sep 2017, RI-Sep 2013, TX-Feb 2016
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The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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