A complete list of active advisors currently associated with Moors & Cabot, Inc.

Warmer can help you find a great advisor at Moors & Cabot, Inc. or one who fits your needs even better.

Moors & Cabot serves retail and high‑net‑worth individuals as well as corporations, pension and profit‑sharing plans, trusts, estates, and charitable organizations. The firm provides portfolio management through its Portfolio Management Program, fee‑based financial planning and consulting, referrals to third‑party wrap programs, and advice‑only services for assets held away from its clearing firm. Advisory services can be provided on a discretionary or non‑discretionary basis and draw on a range of analysis methods (including fundamental, technical, quantitative and qualitative approaches) and common strategies like asset allocation and dollar‑cost averaging. The firm uses third‑party and affiliated sub‑advisors (for example Eagleclaw Capital and First Trust), participates in RBC‑sponsored wrap programs and sweep arrangements, aggregates household assets for fee breakpoints, and credits certain mutual‑fund 12b‑1 fees back to client accounts. Notable distinctions include its dual registration and affiliations — it operates as an SEC‑registered investment adviser, a FINRA‑registered broker‑dealer and a licensed insurance agency — which enables commissionable brokerage and insurance sales alongside advisory services and creates disclosed conflicts of interest. The brochure also discloses municipal‑security advisory activity (municipal securities are listed among its investable instruments), significant clearing‑firm arrangements and incentive payments from RBC (including transition assistance, forgivable loans and retention credits tied to sweep balances), and recent regulatory matters (FINRA acceptance, waiver and consent orders relating to Form CRS/AML matters and a 2023 SEC order addressing undisclosed clearing‑firm revenue sharing and related payments and remedial undertakings).

To learn more about the advisors currently working at Moors & Cabot, Inc., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.

You can also browse Moors & Cabot, Inc.'s office locations.