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346 Commercial Street, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2021-02-08 |
Branch Locations
701 Us Route 1 Unit 4, Yarmouth, ME 04096 • United States
346 Commercial Street, Boston, MA 02109 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Layline Advisors | Washington | DC | 03/2018 | 10/2020 |
| Principles For Responsible Investment (Unpri) | London | 01/2016 | 09/2016 | |
| Unemployed | Washington | DC | 09/2016 | 03/2018 |
| Lpl Financial, Llc | Yarmouth | ME | 11/2020 | Present |
| Flagship Harbor Advisors, Llc | Yarmouth | ME | 11/2020 | 12/2020 |
| Flagship Harbor Advisors, Llc | Yarmouth | ME | 12/2020 | Present |
1. 11/10/2020 - Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Flagship Harbor Advisors, LLC, an independent investment advisor firm. I started this business activity in 11/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 08/05/2021 - Shepard Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/06/2020 - 0 Hours Per Month/0 Hours During Securities Trading. 3. 3/6/2023 - Three Pines Capital, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 12/30/2022 - 160 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-12-14 |
| S65 | Uniform Investment Adviser Law Examination | 2017-12-22 |
| S66 | Uniform Combined State Law Examination | 2005-03-16 |
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