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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-09-15 |
| NH | RA | APPROVED | 2025-09-12 |
Branch Locations
2211 Congress Street, Portland, ME 04122 • United States
1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Epsom | NH | 04/2015 | 08/2025 |
| Td Bank, Na | Portland | ME | 08/2025 | Present |
| Td Private Client Wealth Llc | Portland | ME | 08/2025 | Present |
1. 1/3/2017 - No Business Name - Investment Related - Madison, NH - Real Estate Rental - Start 01/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Rent vacation property. 2. 1/18/2017 - No Business Name - Not Investment Related - Home Based - Other-Farming - Started 06/01/2014 - 4 Hours Per Month/0 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-29 |
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