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
JOSEPH GAUVIN
CRD#: 6128554
IA
Investment Adviser
B
Previous Broker
STONEHEARTH CAPITAL MANAGEMENTCRD#: 128866 100 CONIFER HILL DRIVE, UNIT 105
DANVERS, MA 01923
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2021 (6 years)2 FIRMS2021 - 2022 (1 year)IASTONEHEARTH CAPITAL MANAGEMENT (CRD# 128866)2022 - Present (2 years)IASANDY COVE ADVISORS, LLC (CRD# 152482)2022 - 2022 (<1 year)
License(s)

State Registrations

IA
Massachusetts 6/16/2022
IA
Texas 8/5/2022
Current Registration(s)
IA
STONEHEARTH CAPITAL MANAGEMENT (CRD#:128866)
100 CONIFER HILL DRIVE, UNIT 105, DANVERS, MA 01923
Registered with this firm since 6/16/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/25/2022 - 04/11/2022 SANDY COVE ADVISORS, LLC (CRD#:152482) HINGHAM, MA
IA
 01/04/2021 - 01/19/2022 GW & WADE, LLC (CRD#:105394) WELLESLEY, MA
B
 01/05/2021 - 01/19/2022 GW & WADE ASSET MANAGEMENT COMPANY, LLC (CRD#:25745) Needham, MA
IA
 06/26/2015 - 01/04/2021 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) NEEDHAM, MA
B
 01/08/2015 - 01/04/2021 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) NEEDHAM, MA
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.