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Jim Rose

Baystate Financial

134 Turnpike Road Suite 300

Southborough, MA 01772

774-843-4935

About Baystate Financial

Since we opened our doors in 1901, weve developed the experience and expertise to better understand what our clients need to be successful. Put that knowledge to work and discover what is possible when the focus of an award-winning firm is on YOU.

Baystate Financial has built a reputation for helping its clients gain clarity, leverage and financial independence. Clarity with regard to what having wealth means to them; leverage with regard to the ways they integrate and coordinate their assets and income to build, protect and distribute wealth in an efficient and effective manner; and financial independence with the knowledge that they have made informed and appropriate decisions appropriate for the complex financial lives they tend to lead.

We believe that Baystate Financials greatest strength is its network of talented people, the passion they have for their work, and the collaborative culture they embrace. All across New England, our associates make us a best place to work. Our focus always is to foster an environment that encourages their best thinking and supports their personal and professional development so that we bring the best to each other and to our clients day in and day out, David C. Porter, Managing Partner.

Baystate is headquartered in Boston MA, and has 17 office locations throughout New England with over 650 employees. Baystate Financial specializes in many things such as financial planning, business and estate planning, retirement planning, as well as a variety of protection and investment products.

General Information

Firm Start Year

1901

No.of Employees

500-999

CRD#

5727319

Firm CRD#

10409

Insurance License#

1877419

States Licensed in

MA, NH, RI, CT, NY, VA, FL, ME, PA

Years of Experience in Financial Services

11

Number of Years with Current Firm

11

I work with the following types of clients

Individual Investors, Businesses

Services

Investment Types

Stocks, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Annuities, Insurance, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via Phone, At my office, At your home, At your office, Video Conference, Via Email

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP®

Securities Licenses

Series 63, Series 7, Series 6

Insurance and Annuity Licenses

Accident, Disability, Annuity, Variable Life, Long Term Care, Variable Annuity, Life, Health

Compensation and Fees

Fee Structure

Fee-Based

Education

Bachelor of Arts - Communications

Quinnipiac University
2003 - 2007

Certificant - Certified Financial Planner

Boston University
2010 - 2012