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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-10-22 |
Branch Locations
118 Congress St., Portland, ME 04101 • United States
35 Plaza Dr, Scarborough, ME 04074 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
1. 10/17/2024- Empeople investment and retirement services- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-10-10 |
| S66 | Uniform Combined State Law Examination | 2004-09-08 |
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