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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2016-10-11
  • ME RA
    APPROVED
    Since 2016-10-11

Branch Locations

1768 Atlantic Hwy, Waldoboro, ME 04572 • United States

188 Main St, Thomaston, ME 04861 • United States

52 Burkett Rd, Union, ME 04862 • United States

145 Elm Street, Camden, ME 04843 • United States

6 Main St, Vinalhaven, ME 04863 • United States

Union, ME • 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
Camden National Bank Rockport ME 04/2015 Present
Lpl Financial, Llc Waldoboro ME 10/2015 Present
  • 04/2015 → Present
    Camden National Bank
    Rockport, ME
  • 10/2015 → Present
    Waldoboro, ME
Other Businesses

1. 10/16/2015: Camden Financial Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 10/16/2015: No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 12/10/2014 - 0.5 Hours Per Month During Securities Trading - Time Spent 1% - Notarizing Documents - Notary Public.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-07
S63 Uniform Securities Agent State Law Examination 2015-12-01
  • S65 Uniform Investment Adviser Law Examination
    2016-10-07
  • S63 Uniform Securities Agent State Law Examination
    2015-12-01

View on SEC IAPD

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