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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-08-01 |
| ME | RA | APPROVED | 2018-01-23 |
Branch Locations
180 Main Street Suite 1, Waterville, ME 04901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kennebec Savings/Lpl | Waterville | ME | 08/2009 | 01/2018 |
| Raymond James Financial Services, Inc. | Waterville | ME | 01/2018 | Present |
| Lpl Financial | Waterville | ME | 08/2009 | 01/2018 |
| Raymond James Financial Services Advisors Inc. | Waterville | ME | 01/2018 | Present |
| Four Seasons Financial Llc | Oakland | ME | 01/2018 | Present |
(1)Name of Business: Four Seasons Financial LLC Address: 4 Tranquility Trail, Oakland, ME, 04963, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 01/22/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of Support Company (2)Name of Business: McGrath Pond Maple Address: 4 Tranquility Trail, Oakland, ME, 04963, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 02/09/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: maple syrup & honey producer (3)Name of Business: Tranquility Trail Road Association Address: 4 Tranquility Trail, Oakland, ME, 04963, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Director Investment Related: No Start Date: 07/16/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Secretary of informal road associationvoting member at annual meeting; keep historical record of meetings (4)Name of Business: United Way of Kennebec Valley Address: 4 Tranquility Trail, Oakland, ME, 04963, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member, Finance/Investment Committee Member, Executive Member, Committee Member Investment Related: Yes Start Date: 01/15/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board member for non profit board and member of Finance Committee and Executive Committee. Voting member and approving budget and policies & procedures.\nIf a second 'signature' is needed, it is via email approval, with no access to actual checks.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-24 |
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