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Audrey Barbara Daum

36 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
69 advisors
Number of Clients
4,509 clients
Average Client Portfolio
$686K average
Assets Under Management
$3.1B

Fee Structure

Minimum Investment:$50K
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Location

One Federal Street, 19th Floor, Boston, MA, 02110

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Audrey is a board member of the MIT Sloan Alumni Association of Boston, a non-compensated role. She is also the author of a children's book, "The Little Floof's Book of Money", spending a few hours per week on this activity.

Employment History
Current Registrations
Moors & Cabot, INC
April 2017 - Present · 8 yrs 10 mos
Moors & Cabot, INC.Broker
April 2017 - Present · 8 yrs 10 mos
Previous Registrations
Oppenheimer & CO. INC.
June 2016 - May 2017 · 11 mos
Oppenheimer & CO. INC.Broker
September 2010 - May 2017 · 6 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1998 - September 2010 · 12 yrs 4 mos
Citicorp Securities, INC.Broker
August 1988 - December 1996 · 8 yrs 4 mos
State Registrations21 states
AZCACTDCFLHIILKSMAMDMEMONHNJNYPARISCVAVTVirgin Islands
AdvisorBrokerBoth
Exams
No exam information available for this advisor.