Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19952000200520102015202020252 FIRMS1993 - 1993 (<1 year)2 FIRMS2011 - 2011 (<1 year)IANEW ENGLAND TACTICAL INVESTMEN... (CRD# 301909)2019 - Present (5 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2018 - 2018 (<1 year)BFREEDOM INVESTORS CORP. (CRD# 23714)2014 - 2016 (1 year)BMERRIMAC CORPORATE SECURITIES,... (CRD# 35463)2014 - 2014 (<1 year)BJHS CAPITAL ADVISORS, LLC (CRD# 112097)2012 - 2012 (<1 year)BVFINANCE INVESTMENTS, INC (CRD# 44962)2008 - 2011 (2 years)BFEDERAL STREET INVESTMENTS, INC. (CRD# 104290)2001 - 2004 (3 years)BSALOMON GREY FINANCIAL CORPORATION (CRD# 43413)2000 - 2001 (<1 year)BBARRON CHASE SECURITIES, INC. (CRD# 18969)1995 - 2000 (5 years)BBARABAN SECURITIES, INC. (CRD# 7659)1995 - 1995 (<1 year)BTHOMAS JAMES ASSOCIATES, INC. (CRD# 15609)1992 - 1993 (<1 year)
Disclosure(s)
View By:
4/12/2005
Regulatory
Final
9/30/2002
Customer Dispute
Closed-No Action
License(s)

State Registrations

IA
New Hampshire 5/17/2019
Current Registration(s)
IA
NEW ENGLAND TACTICAL INVESTMENTS LLC (CRD#:301909)
KENSINGTON, NH
Registered with this firm since 5/17/2019
Previous Registration(s)
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 05/02/2018 - 11/23/2018 PRUCO SECURITIES, LLC. (CRD#:5685) Bedford, NH
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 09/03/2014 - 08/11/2016 FREEDOM INVESTORS CORP. (CRD#:23714) Longwood, FL
B
 04/02/2014 - 12/31/2014 MERRIMAC CORPORATE SECURITIES, INC. (CRD#:35463)
FINRA expelled the firm on 03/21/2016
ALTAMONTE SPRINGS, FL
B
 01/05/2012 - 06/04/2012 JHS CAPITAL ADVISORS, LLC (CRD#:112097) TAMPA, FL
B
 08/30/2011 - 12/07/2011 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
B
 01/11/2011 - 08/05/2011 BROKERSXPRESS LLC (CRD#:127081) KENSINGTON, NH
B
 05/15/2008 - 01/12/2011 VFINANCE INVESTMENTS, INC (CRD#:44962) BOCA RATON, FL
B
 02/13/2001 - 02/13/2004 FEDERAL STREET INVESTMENTS, INC. (CRD#:104290) BEVERLY, MA
B
 11/14/2000 - 04/27/2001 SALOMON GREY FINANCIAL CORPORATION (CRD#:43413)
FINRA expelled the firm on 04/27/2006
DALLAS, TX
B
 05/24/1995 - 11/15/2000 BARRON CHASE SECURITIES, INC. (CRD#:18969)
FINRA expelled the firm on 02/28/2002
BOCA RATON, FL
B
 01/31/1995 - 04/26/1995 BARABAN SECURITIES, INC. (CRD#:7659) LOS ANGELES, CA
B
 08/09/1993 - 12/31/1993 DICKINSON & CO. (CRD#:689)
FINRA expelled the firm on 04/07/1998
DES MOINES, IA
B
 02/08/1993 - 09/09/1993 DUNHILL EQUITIES, INC. (CRD#:21822) GARDEN CITY, NY
B
 06/03/1992 - 04/16/1993 THOMAS JAMES ASSOCIATES, INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.