Kenneth Stafford

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1989 → Present
  Stafford Advisors
  Falmouth, ME
• 01/2009 → 03/2018
  Securities America, Inc.
  Falmouth, ME
• 03/2018 → Present
  Lpl Financial, Llc
  Falmouth, ME

Previous Registrations

• 2009-01-28 → 2018-03-07
  Securities America Advisors, Inc.
  Falmouth, ME
• 2002-09-30 → 2009-02-03
  Money Concepts Capital Corp
  Falmouth, ME
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Portland, ME

Other Businesses

1. 03/01/2018 - STAFFORD ADVISORS- TAX CONSULTING AND COMPLIANCE/ TAX PREP, ACCOUNTING CPA/ 50%/ FALMOUTH, ME 2. 03/01/2018 - PORTLAND AIR FREIGHT, INC/ FOR-PROFIT BOARD MEMBER/ 1%/ SCARBOROUGH, ME 3. 03/01/2018 - STAFFORD FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ FALMOUTH, ME 4. 03/01/2018 - MAINE HEALTH & HIGHER EDUCATION FACILITIES AUTHORITY/ NON-PROFIT BOARD MEMBER/ 2%/ AUGUSTA, ME 5. 03/01/2018 - KENNETH STAFFORD, NOTARY/ NOTARY/ 0%/ FALMOUTH, ME 6. 2/6/2023 - Dide LLC - Investment Related - Home Based - Real Estate Rental - Start Date - 06/19/2008 - 1 Hours Per Month/0 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2000-03-06