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22 Monument Square Suite 300, Portland, ME 04101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-11-02 |
| ME | RA | APPROVED | 2019-05-09 |
Branch Locations
22 Monument Square Suite 300, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 02/2000 | 05/2019 |
| Ubs Financial Services Inc. | Portland | ME | 08/2002 | 05/2019 |
| Great Diamond Partners Llc | Portaland | ME | 05/2019 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2019 | 10/2019 |
(1) INDEPENDENT LICENSED INSURANCE AGENT; PORTLAND, MAINE; NON- INVESTMENT RELATED (2) 06/2023 The Catholic Foundation of Maine; Chair of the Finance Committee; Investment related; 510 Ocean Avenue Portland ME 04101; Endowments; 3 hours per month; 0 during trading hours; Chair a finance committee of 6 volunteers and work with RIA Cap Trust as advisor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-11 |
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