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Inactive

Shawnee Ann Sax

H.M. Payson

Portland, ME

CRD 2789054

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Employer firm

H.m. Payson CRD 2993

$9.09B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Pension consulting
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
H.M. Payson

One City Center, Ste 211, Portland, ME 04101 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2002-11-13
  • ME RA
    APPROVED
    Since 2002-11-13

Branch Locations

One City Center, Ste 211, Portland, ME 04101 • 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
OrganizationCityStateFromTo
H. M. Payson & Co. Portland ME 06/1996 Present
H M Payson & Co Portland ME 07/1996 Present
  • 06/1996 → Present
    H. M. Payson & Co.
    Portland, ME
  • 07/1996 → Present
    H M Payson & Co
    Portland, ME
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-11
S63 Uniform Securities Agent State Law Examination 1996-10-11
  • S65 Uniform Investment Adviser Law Examination
    2002-11-11
  • S63 Uniform Securities Agent State Law Examination
    1996-10-11

View on SEC IAPD

Nearby Firms

PORTLAND FINANCIAL PLANNING GROUP
J.P. MORGAN SECURITIES LLC
GREAT DIAMOND PARTNERS, LLC

Nearby Investors

BRIAN LUTHER DIETZ
William Emmet
JOHN MARSHALL PIPER

Nearby Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME

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