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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2024-10-22
  • ME RA
    APPROVED
    Since 2024-10-22

Branch Locations

118 Congress St., Portland, ME 04101 • United States

35 Plaza Dr, Scarborough, ME 04074 • 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
Charter Oak Capital Management Kennebunk ME 02/2016 11/2018
Td Private Client Wealth Llc Portland ME 02/2020 10/2022
Td Bank N.A. Portland ME 02/2020 10/2022
Ll Bean Portland ME 09/2019 02/2020
University Of New England South Portland ME 09/2018 06/2019
South Portland School District South Portland ME 06/2019 11/2019
The Prudential Insurance Company Of America Portland ME 09/2023 09/2024
Pruco Securities Llc Bedford NH 09/2023 09/2024
Unemployed/ Medical South Portland ME 10/2022 09/2023
Empeople Scarborough ME 10/2024 Present
Lpl Financial Llc Scarborough ME 10/2024 Present
  • 02/2016 → 11/2018
    Kennebunk, ME
  • 02/2020 → 10/2022
    Portland, ME
  • 02/2020 → 10/2022
    Td Bank N.A.
    Portland, ME
  • 09/2019 → 02/2020
    Ll Bean
    Portland, ME
  • 09/2018 → 06/2019
    University Of New England
    South Portland, ME
  • 06/2019 → 11/2019
    South Portland School District
    South Portland, ME
  • 09/2023 → 09/2024
    The Prudential Insurance Company Of America
    Portland, ME
  • 09/2023 → 09/2024
    Bedford, NH
  • 10/2022 → 09/2023
    Unemployed/ Medical
    South Portland, ME
  • 10/2024 → Present
    Empeople
    Scarborough, ME
  • 10/2024 → Present
    Scarborough, ME
Previous Registrations
  • 2023-09-15 → 2024-09-19
    Portland, ME
    Wakefield, MA
    Dover, NH
    Portland, ME
  • 2020-05-18 → 2022-10-12
    Portland, ME
    Boston, MA
    Manchester, NH
  • 2016-02-29 → 2018-11-01
    Portland, ME
    Portsmouth, NH
    Portsmouth, NH
  • 2012-01-19 → 2016-01-25
    People'S Securities, Inc.
    Kennebunk, ME
    Rochester, NH
    Kittery, ME
    Kennebunkport, ME
    Wells, ME
    York, ME
    South Berwick, ME
    Scarborough, ME
    Biddeford, ME
    Wolfeboro, NH
    Falmouth, ME
    Portland, ME
    South Portland, ME
    Westbrook, ME
    Yarmouth, ME
    Windham, ME
    Brunswick, ME
    Bridgeport, CT
  • 2010-10-21 → 2011-10-10
    Lancaster, PA
  • 2005-12-20 → 2008-11-04
    Chase Investment Services Corp.
    Lake Havasu City, AZ
  • 2004-09-15 → 2005-10-27
    South Portland, ME
Other Businesses

1. 10/17/2024- Empeople investment and retirement services- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-10-10
S66 Uniform Combined State Law Examination 2004-09-08
  • S63 Uniform Securities Agent State Law Examination
    2023-10-10
  • S66 Uniform Combined State Law Examination
    2004-09-08

View on SEC IAPD

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