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22 Monument Square Suite 300, Portland, ME 04101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-08-12 |
| ME | RA | APPROVED | 2021-07-06 |
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 |
|---|---|---|---|---|
| Aries Wealth Management, Llc | Portland | ME | 08/2015 | 11/2016 |
| Ubs Financial Services Inc. | Portland | ME | 11/2016 | 05/2021 |
| Great Diamond Partners, Llc | Portland | ME | 06/2021 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 07/2021 | 11/2022 |
1) Notary. Not Investment Related. At Registered Location. Notary. 07/2022. .5 Hr/Mo; All During Trading Hours. Notarize Documents.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-18 |
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