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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-08-11 |
| TX | RA | APPROVED_RES | 2025-08-11 |
Branch Locations
475 Pleasant Street Suite 21, Lewiston, ME 04240 • United States
34 Summer Street Suite 1, Bangor, ME 04401 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Lewiston | ME | 09/1989 | 08/2025 |
| Compass Investment Management (Dba) | Lewiston | ME | 04/2023 | 08/2025 |
| Raymond James Financial Services, Inc. | Lewiston | ME | 08/2025 | Present |
| Raymond James Financial Services Advisors, Inc. | Lewiston | ME | 08/2025 | Present |
(1) Bragg Financial Services. Investment related. Lewiston, ME. Fixed insurance sales, Agent, Started: 01/01/1990, 4 hours per month. 0 during trading hours. (2) No business name. Not investment related. Lewiston, ME. Tax preparation services; Proprietor / Owner. Started: 01/01/1990, 20 hours per month. 0 during trading hours. (3) No business name. Investment related. 300 Venica Palms Blvd, Venice, FL 34292. Rental Property (condo). Owner / Proprietor. Started: 01/2022; 0 hours per month. 0 during trading hours. Repeat annual tenant that I rent the condo to. (5) Maine Baptist Association. Not investment related. Augusta, ME. Religious Institution / Non-profit. Officer / Treasurer. Started: 01/2022. 4 hours per month. 0 during trading hours. Approve expense reports / Present budget at annual meeting.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-26 |
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