# EDGAR Filing Document

**Accession Number:** 0001607239
**File Stem:** 0001607239-26-000004
**Filing Date:** 2026-5
**Character Count:** 10933
**Document Hash:** 90756a27a7721958bb100ffe610915bb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001607239-26-000004.hdr.sgml**: 20260610

**ACCESSION NUMBER**: 0001607239-26-000004

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20240630

**FILED AS OF DATE**: 20260529

**DATE AS OF CHANGE**: 20260610

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Moors & Cabot, Inc.
- **CENTRAL INDEX KEY:** 0001607239

**ORGANIZATION NAME:**
- **EIN:** 042644548
- **STATE OF INCORPORATION:** MA
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01157
- **FILM NUMBER:** 261079379

**BUSINESS ADDRESS:**
- **STREET 1:** ONE FEDERAL ST.
- **STREET 2:** 19TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02110
- **BUSINESS PHONE:** 617-426-0500

**MAIL ADDRESS:**
- **STREET 1:** ONE FEDERAL ST.
- **STREET 2:** 19TH FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02110

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001607239

**Filer CCC:** XXXXXXXX

**Contact Name:** Katherine Kelliher

**Contact Phone:** 6173140213

**Contact Email:** kkelliher@moorscabot.com

**Notification Emails:** kkelliher@moorscabot.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Moors & Cabot, Inc.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 594

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 04-2644548

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-01579-00

- **Municipal Advisor:** SEC File No: 867-01157

- **Broker-Dealer:** SEC File No: 008-23060, CRD No: 594

- **SEC-Registered Investment Adviser:** SEC File No: 801-48726, CRD No: 594

**E. Principal Office and Place of Business:** 1 Federal Street, 19th Floor, BOSTON, MA, 02109

**Telephone Number:** 617-426-0500

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.moorscabot.com

**G. Chief Compliance Officer (CCO):**

**Name:** Katherine .Rose Kelliher

**Titles:** Chief Compliance Officer

**Address:** 1 Federal Street, 19th Floor, Boston, MA, 02109

**Phone Number:** 6173140213

**Email:** kkelliher@moorscabot.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** June

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** MA

**D. Date of Organization:** 05-25-1978

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 135

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 70

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Local government investment pools
, Local government investment pools

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Contingent Fees
, Hourly Charges, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Contingent Fees
, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice ME Other Investments, Advice Use Of MD, Solicitation Other, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                         | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| 1890 Partners                | Corporation              | 11-02-2022      | E - 75% or more           | No                | 87-1761456   |  |
| Joseph Philip Cuetara        | SVP/Municipal Principal  | 12-01-2010      | NA - less than 5%         | No                |  | 58308        |
| Mark David Garrett           | Director/Co-chairman     | 07-01-2008      | B - 10% but less than 25% | Yes               |  | 5563014      |
| Michael Christopher Hildreth | CEO/CFO/EVP              | 11-02-2022      | NA - less than 5%         | Yes               |  | 2386939      |
| Daniel Michael Joyce         | CEO Emeritus             | 11-02-2022      | NA - less than 5%         | Yes               |  | 1060819      |
| Michael C Braun              | Chief Operating Officer  | 05-01-1999      | NA - less than 5%         | Yes               |  | 2005370      |
| Katherine Rose Kelliher      | Chief Compliance Officer | 03-12-2024      | NA - less than 5%         | Yes               |  | 4146307      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                         | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | 1890 Partners                | Corporation              | 11-02-2022      | E - 75% or more           | No                | 87-1761456   |  |
|  | Direct      |  | Joseph Philip Cuetara        | SVP/Municipal Principal  | 12-01-2010      | NA - less than 5%         | No                |  | 58308        |
|  | Direct      |  | Mark David Garrett           | Director/Co-chairman     | 07-01-2008      | B - 10% but less than 25% | Yes               |  | 5563014      |
|  | Direct      |  | Michael Christopher Hildreth | CEO/CFO/EVP              | 11-02-2022      | NA - less than 5%         | Yes               |  | 2386939      |
|  | Direct      |  | Daniel Michael Joyce         | CEO Emeritus             | 11-02-2022      | NA - less than 5%         | Yes               |  | 1060819      |
|  | Direct      |  | Michael C Braun              | Chief Operating Officer  | 05-01-1999      | NA - less than 5%         | Yes               |  | 2005370      |
|  | Direct      |  | Katherine Rose Kelliher      | Chief Compliance Officer | 03-12-2024      | NA - less than 5%         | Yes               |  | 4146307      |

### Execution Page

**Signature:** Katherine R Kelliher

**Signer Name:** Katherine R Kelliher

**Title:** SVP and CCO

**Date:** 05-29-2026

**CRD Number:** 4146307