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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_RES | 2022-09-29 |
| ME | RA | APPROVED | 2016-10-26 |
Branch Locations
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
47 Main Street Suite 240, Bangor, ME 04401 • United States
160 Capitol St. Suite 3, Augusta, ME 04330 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foundations Investment Advisors, Llc | Augusta | ME | 10/2016 | Present |
| Independent Insurance Agent - Combined Benefits United | Hallowell | ME | 03/2016 | 12/2022 |
| Sovereign Wealth Management, Llc | Augusta | ME | 01/2023 | Present |
01/2023 - Sovereign Wealth Management, LLC - Investment related - 295 Water St., Suite 6, Augusta, ME 04330 - Independent Insurance Producer - approx. 45 hours per month during trading hours - provide client fixed annuity and life insurance solutions. Independent insurance producer since 03/2016; marketing through Sovereign Wealth Management, LLC since 01/2023.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-11 |
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