Thomas Edward Shupe

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2026-08-18
TX	RA	APPROVED	2026-08-17

ME RA
APPROVED

Since 2026-08-18
TX RA
APPROVED

Since 2026-08-17

Branch Locations

46 B First Park Drive, Oakland, ME 04963 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Franklin Templeton Distributors Inc.	St. Petersburg	FL	11/2005	09/2017
Unemployed	Glastonbury	CT	09/2017	04/2018
Edward Jones	Saint Louis	MO	04/2018	06/2018
Axa Advisors, Llc	New York	NY	09/2019	02/2020
Flexible Plan Investments	Bloomfield Hills	IL	08/2018	04/2019
Unemployed	Glastonbury	CT	04/2019	09/2019
Lpl Financial, Llc	Oakland	ME	03/2020	08/2026
Raymond James Financial Services, Inc.	Oakland	ME	08/2026	Present
Raymond James Financial Services Advisors, Inc.	Oakland	ME	08/2026	Present

11/2005 → 09/2017

Franklin Templeton Distributors Inc.

St. Petersburg, FL
09/2017 → 04/2018

Unemployed

Glastonbury, CT
04/2018 → 06/2018

Edward Jones

Saint Louis, MO
09/2019 → 02/2020

Axa Advisors, Llc

New York, NY
08/2018 → 04/2019

Flexible Plan Investments

Bloomfield Hills, IL
04/2019 → 09/2019

Unemployed

Glastonbury, CT
03/2020 → 08/2026

Lpl Financial, Llc

Oakland, ME
08/2026 → Present

Raymond James Financial Services, Inc.

Oakland, ME
08/2026 → Present

Raymond James Financial Services Advisors, Inc.

Oakland, ME

Previous Registrations

2020-03-20 → 2026-08-21

Lpl Financial Llc

Glastonbury, CT

Glastonbury, CT

Oakland, ME
2019-09-13 → 2020-03-12

Equitable Advisors, Llc

Shelton, CT
2018-05-08 → 2018-06-19

Edward Jones

Glastonbury, CT

St Louis, MO
2005-09-23 → 2005-11-30

Amsouth Investment Management Company Llc

Clearwater, FL

Other Businesses

(1) Name of Business: ALZ Enterprises LLC Address: 15 Sydney RD, Fayette, ME, 04349, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/30/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I operate this LLC for tax purposes. My accountant suggested I do this and then file as an S Corp. (2) Name of Business: Dirigo Wealth Management Address: 46 First Park Dr Ste B, Oakland, ME, 04963-5376, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 03/31/2026 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This is the DBA name of my wealth management practice. I am the owner and Sr. Advisor.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-05-05
S65	Uniform Investment Adviser Law Examination	2005-09-21
S63	Uniform Securities Agent State Law Examination	1999-05-10

S66 Uniform Combined State Law Examination

2018-05-05
S65 Uniform Investment Adviser Law Examination

2005-09-21
S63 Uniform Securities Agent State Law Examination

1999-05-10

Other Names

Thomas Edward (Jr) Shupe
Thomas Edward Shupe
Thomas Edward Shupe

View on SEC IAPD