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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2018-06-27
TX RA APPROVED 2018-06-25
  • ME RA
    APPROVED
    Since 2018-06-27
  • TX RA
    APPROVED
    Since 2018-06-25

Branch Locations

1071 Lisbon St, Lewiston, ME 04240-5768 • United States

690 Maine Ave, Farmingdale, ME 04344 • United States

4 Wabon St, Augusta, ME 04330 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Lewiston ME 05/2012 Present
The Patriot Financial Group, Llc Lewiston MA 09/2014 06/2018
Previous Registrations
Other Businesses

1. 5/22/2012: Twin City Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 5/30/2012: Twin City Financial Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 10% Time Spent - Sale of fixed life, annuities, group life and disability income insurance. 3. 7/08/2015: Godin Financial PA - Business Entity For Tax/Investment Purposes Only - Investment Related - 918 Sabattus St., Lewiston, ME 04240 - Started 07/01/2015 - 0 Hr/Mo - Commissions and Advisory Fees 4. 8/4/2018 - Twin City Financial Holdings, LLC - Investment Related - 1071 Lisbon Street, Lewiston, ME 04240 - Real Estate Rental - Started 01/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading. - Own Office Real Estate at 1071 Lisbon St. Lewiston, Maine. 5. 09/16/2021 - No Business Name - Investment Related - Venice FL, 34285 - Real Estate Rental - Start Date: 06/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading - Purchased a condo in Florida for rental income purposes.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-02-07
S65 Uniform Investment Adviser Law Examination 1999-07-15
  • S63 Uniform Securities Agent State Law Examination
    2007-02-07
  • S65 Uniform Investment Adviser Law Examination
    1999-07-15
Designations

View on SEC IAPD

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