Best Investors Account Sign in
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2024-12-06
ME RA APPROVED 2004-12-16
  • NH RA
    APPROVED
    Since 2024-12-06
  • ME RA
    APPROVED
    Since 2004-12-16

Branch Locations

514 Wicasset Road, Suite 3, Boothbay Harbor, ME 04537 • United States

Dummer, NH • United States

Northwoods Wealth Management

66 Townsend Ave, Boothbay Harbor, ME 04538 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2006-01-04
  • ME RA
    APPROVED
    Since 2006-01-04

Branch Locations

66 Townsend Ave, Boothbay Harbor, ME 04538 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Boothbay ME 12/2004 Present
The Financial Coach Boothbay ME 10/2005 Present
  • 12/2004 → Present
    Boothbay, ME
  • 10/2005 → Present
    The Financial Coach
    Boothbay, ME
Previous Registrations
Other Businesses

1. 10/12/2004 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading. 2. 10/22/2004 - DBA for LPL Business (entity for LPL business) - THE FINANCIAL COACH - At Reported Business Location(s) - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading. 3. 12/19/2019 - No Business Name - Investment Related - Boothbay Harbor, ME - Real Estate Rental - Started 01/15/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 08/14/2025 - Northwoods Wealth Management / Northwoods Wealth Managment - Investment Related - Registered Investment Advisor - At Reported Business Location(s) - Start Date 07/29/2025 - 10 Hrs/Mth - 10 Hrs During Trading - I provide financial planning and consulting services through Northwoods Wealth Management, an independent investment advisor firm. I started this business activity in 07/2025. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 5. 06/04/2026 - Town of Dummer - Politics/ Government - Not Investment Related - Drummer, NH - Start Date 04/14/2026 - 1 hour per month/ 0 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-02
S63 Uniform Securities Agent State Law Examination 1998-02-12
  • S65 Uniform Investment Adviser Law Examination
    2001-03-02
  • S63 Uniform Securities Agent State Law Examination
    1998-02-12

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Boothbay Harbor, ME

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor