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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-10 |
| ME | RA | APPROVED | 2024-04-30 |
Branch Locations
95 Main St Suite 102, Auburn, ME 04210 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Good Neighbor Services, Llc | Raymore | MO | 01/2015 | 11/2020 |
| Foresters Financial Services | Overland Park | KS | 04/2016 | 01/2018 |
| Foresters Advisory Services Llc | Overland Park | KS | 09/2017 | 01/2018 |
| Equity Service, Inc. | Montpelier | VT | 01/2018 | 04/2018 |
| Financiallife Outfitters, Llc | Overland Park | KS | 02/2018 | 07/2022 |
| Triad Advisors | Norcross | GA | 04/2018 | 08/2022 |
| Advisory Alpha, Llc | Holland | MI | 08/2022 | 03/2024 |
| Gosline Retirement Planning | Farmington | ME | 08/2022 | 03/2024 |
| Foundations Investment Advisors, Llc | Phoenix | AZ | 04/2024 | Present |
| Northern Alliance Financial | Auburn | ME | 04/2024 | Present |
1) NORTHERN ALLIANCE FINANCIAL; 95 MAIN ST SUITE 101 AUBURN, ME 04210; INSURANCE PRODUCER; PROVIDING LIFE AND ANNUITY PRODUCTS TO CLIENTS TO HELP MEET THEIR RETIREMENT NEEDS; STARTED 04/2024; 80 HRS/MO; 0 HRS/MO DURING SECURITIES TRADING HOURS. 2) NORTHERN ALLIANCE FINANCIAL; INVESTMENT-RELATED: YES; 95 MAIN ST SUITE 101 AUBURN, ME 04210; FINANCIAL SERVICES; NON-LEGAL ESTATE PLANNING ADMINISTRATIVE SERVICES USING 3RD PARTY ENCORE ESTATE; DUTIES INCLUDE NON-LEGAL SERVICES TO ASSIST CLIENTS WITH DOCUMENT ORGANIZATION, DATA ENTRY, AND PLATFORM NAVIGATION RELATED TO ESTATE PLANNING SOFTWARE. 8 HRS/MONTH SPENT ON ACTIVITY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-07-08 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-27 |
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