Randal Scott Poirier

Current Employers

Employment History

• 05/1997 → 11/2018
  John Hancock Mutual Life Insurance Co
  Warwick, RI
• 05/1997 → 11/2018
  Signator Investors, Inc.
  Boston, MA
• 11/2018 → Present
  Osaic Wealth, Inc.
  New Port, RI
• 11/2018 → Present
  Randal Poirier, Chfc Financial Planner
  Newport, RI

Previous Registrations

• 2001-02-12 → 2018-11-02
  Signator Investors, Inc.
  Warwick, RI
  Warwick, RI
  New Port, RI
  Warwick, RI

Other Businesses

1) RANDAL POIRIER, CHFC FINANCIAL PLANNER POSITION: Insurance Broker/Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/05/2018 ADDRESS: 209 Goddard Row, Newport RI 02840, United States DESCRIPTION: Occasional sale of insurance products. 2) INDEPENDENCE FINANCIAL PARTNERS POSITION: Financial Planner NATURE: This OBA is simply a disclosure of the marketing name that I use for my financial planning practice with Osaic Wealth, Inc. Independence Financial Partners is the name of my OSJ and its the only marketing name that I have used for my work as a Registered Representative and Investment Advisor Representative since the OSJ adopted it. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/1998 ADDRESS: 209 Goddard Row, Newport RI 02840, United States DESCRIPTION: I am a Financial Planner and Registered Representative and Investment Advisor Representative with Independence Financial Partners the OSJ I work under with Osaic Wealth, Inc. 3) NEWPORT STATE OF MIND, LLC POSITION: Managing Member NATURE: This OBA disclosure is solely for my single member LLC which was formed on April 24, 2018, with me as the sole member, and its formation was for it to be the original purchaser and owner of my commercial condominium located at 209 Goddard Row Newport, RI 02840. The sole purpose of this LLC is to own my commercial condominium to provide me with the legal protections of such ownership of my property under RI law. As the owner of my office condominium, I simply pay my LLC a monthly lease payment of $1,700.00 each month as the Sole Proprietor and owner of my financial planning practice with Independence Financial Partners and the renter of my business office located within my condominium, which was originally purchase by this LLC in June of 2018, to cover the annual commercial mortgage payments, condo fees, property insurance, and property taxes which are due on this property each year. No income is personal income is derived from this property each year and no other assets are owned by this LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/11/2018 ADDRESS: 209 Goddard Row, Newport RI 02840, United States DESCRIPTION: As the Sole Member or 100% Shareholder of this LLC, I simply collect a monthly lease payment of $1700.00 from myself, Randal Poirier, the renter of the property to cover its monthly mortgage, condominium fees, taxes and insurance costs and deposit those lease payments into my Berkshire Bank Newport State of Mind, LLC checking account to cover these related monthly expenses. Then, these monthly expenses are paid for my mortgage loan, condo fees, property taxes and insurance from this same account. There is no other monthly activity related to this LLC.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-26
• S63 Uniform Securities Agent State Law Examination
  1998-05-09

Designations

Other Names

• Randal Scott Poirier
• Randal S Poirier
• Randall Scott Poirier