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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2018-06-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lewiston | ME | 10/2013 | Present |
| The Patriot Financial Group | Lewiston | ME | 10/2014 | 12/2018 |
1. 10/31/2013: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent, lines offered: Term, Fixed Annuities. 2. 10/31/2013: Twin City Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 4/6/2015: Central Maine Credit Union - Not Investment Related - 1000 Lisbon Street, Lewiston, ME 04240 - For-Profit Board Member - Start 04/27/2015 - 2 Hours Per Month/0 Hours During Securities Trading - Board member for Central Maine Credit Union. Company is not publicly traded. 4. 8/10/2016: Paquette Financial, P.A. - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Started 08/04/2016 - 1 Hr/Mo; 0 Hours During Securities Trading - LPL Commissions & RIA Fees. 5. 2/9/2017 - Twin City Financial Holdings, LLC - Investment Related - 1071 Lisbon Street, Lewiston, ME 04240 - Real Estate Rental - Started 01/06/2017 - 0 Hours Per Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-21 |
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