Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - 2021 (6 years)IAWEALTH EFFECTS (CRD# 315244)2024 - Present (<1 year)BCOBURN & MEREDITH, INC. (CRD# 164)2004 - 2015 (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2004 (6 years)IACOBURN & MEREDITH, INC. (CRD# 164)2008 - 2015 (7 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2001 - 2004 (3 years)
Disclosure(s)
View By:
6/11/2024
Regulatory
Final
12/11/2023
Financial
Pending
9/20/2021
Employment Separation After Allegations
12/9/2019
Customer Dispute
Settled
12/28/2018
Customer Dispute
Settled
6/20/2001
Customer Dispute
Denied
License(s)

State Registrations

IA
Massachusetts 6/11/2024
Current Registration(s)
IA
WEALTH EFFECTS (CRD#:315244)
Pembroke, MA
Registered with this firm since 6/11/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/27/2015 - 10/20/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Hingham, MA
B
 02/27/2015 - 10/20/2021 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Hingham, MA
IA
 02/07/2008 - 03/06/2015 COBURN & MEREDITH, INC. (CRD#:164) BOSTON, MA
B
 11/23/2004 - 03/06/2015 COBURN & MEREDITH, INC. (CRD#:164) BOSTON, MA
IA
 02/20/2001 - 11/22/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) ROCKLAND , MA
B
 06/23/1998 - 11/22/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.