Alexandria, VA Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Moors & Cabot, Inc
Multi-team
Firm-wide stats for Moors & Cabot, Inc
About
Moors & Cabot serves a mix of retail and high‑net‑worth individuals as well as corporations, pension and profit‑sharing plans, trusts, estates and charitable organizations, providing investment management through its Portfolio Management Program, fee‑based financial planning, consulting, and referrals to third‑party wrap‑fee programs. Services are offered on discretionary or non‑discretionary terms, and the firm also provides “advice‑only” arrangements for assets held away from its clearing custodian.
Advisors have latitude to tailor portfolios to clients’ objectives and risk tolerances using strategies such as asset allocation, fundamental and technical analysis, and quantitative techniques; Moors & Cabot may allocate portions of client portfolios to third‑party or affiliated sub‑advisors and documents discretionary authority in its written PMP agreements (the PMP generally cites a $50,000 account guideline). The firm conducts routine account surveillance and household aggregation for fee breakpoints and provides ongoing reviews and reporting to clients.
Distinctive aspects in the brochure include Moors & Cabot’s active broker‑dealer and insurance‑agency roles — the firm conducts commissionable brokerage and insurance sales alongside advisory services — and its handling of municipal securities and related municipal activity as part of its product set. The firm also maintains a fully disclosed clearing relationship with RBC (including disclosed incentive and revenue‑sharing arrangements related to cash sweep and custody services) and discloses recent regulatory actions (FINRA and an SEC order) and related remediation measures in its disciplinary history.
Based on Moors & Cabot, Inc
Expertise
Based on Moors & Cabot, Inc
Location
1800 Diagonal Road, Suite 440
Alexandria VA 22314
Advisors at this office
3
Advisors at this office
Stephen F
Series 66, Series 65
Alexandria, VA
Moors & Cabot, Inc.
Stephen Frederick is a financial advisor at Moors & Cabot, Inc. with 25 years of industry experience. He holds the Series 66 and Series 65 licenses and has been with Moors & Cabot since 2001. Outside of his advisory duties, he serves as Chairman of the Finance Committee at Calvary United Methodist Church in Arlington, VA. Moors & Cabot serves a diverse client base including retail and high-net-worth individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers investment management, financial planning, consulting, and third-party program referrals, using a range of strategies tailored to client objectives and risk tolerances.
Thomas J
Series 63, Series 66
Alexandria, VA
Moors & Cabot, Inc.
Thomas Jewsbury is a financial advisor with Moors & Cabot, Inc. in Alexandria, VA, holding Series 63 and Series 66 licenses and bringing 23 years of industry experience. His prior roles include positions at Oppenheimer and TD Ameritrade, where he worked for a combined total of 15 years before joining Moors & Cabot in 2021. Moors & Cabot serves retail and high-net-worth individuals as well as institutional clients such as corporations, pension plans, trusts, and charitable organizations. The firm offers investment management through a Portfolio Management Program, fee-based financial planning, and consulting, with strategies tailored to client objectives using various analytical techniques and the ability to allocate to third-party sub-advisors.
Michael K
Series 63, Series 65
Alexandria, VA
Moors & Cabot, Inc.
Michael Kurka is a financial advisor at Moors & Cabot, Inc. in Alexandria, VA, holding Series 63 and Series 65 licenses with 32 years of industry experience. His prior experience includes roles at Morgan Stanley Private Bank, Morgan Stanley Smith Barney, and Citigroup Global Markets. Moors & Cabot serves a diverse client base including retail and high-net-worth individuals, corporations, pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm offers investment management, fee-based financial planning, and consulting with tailored portfolio strategies across discretionary and non-discretionary arrangements.
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