William David Pike

Current Employers

Employment History

• 03/2009 → Present
  Pike Financial Group
  Falmouth, ME
• 01/2015 → 12/2018
  Princor Financial Services Corporation
  Falmouth, ME
• 11/2015 → 11/2018
  Principal Life Insurance Company
  Falmouth, ME
• 06/2010 → Present
  New England Financial Services, Llc
  Falmouth, ME
• 11/2018 → 11/2021
  Iams Wealth Management, Llc
  Elkhorn, NE
• 01/2022 → 05/2023
  Foundations Investment Advisors, Llc
  Phoenix, AZ
• 05/2023 → Present
  Maine Investment And Planning Services
  Yarmouth, ME
• 03/2022 → Present
  Carroll Harper & Associates Inc.
  Southwest Harbor, ME

Previous Registrations

• 2022-01-13 → 2024-03-20
  Foundations Investment Advisors Llc
  Falmouth, ME
  Phoenix, AZ
• 2018-12-04 → 2021-12-31
  Iams Wealth Management, Llc
  Falmouth, ME
  Omaha, NE
• 2018-05-31 → 2018-12-12
  Principal Securities, Inc.
  Falmouth, ME
  Des Moines, IA
  Falmouth, ME

Other Businesses

1) NEW ENGLAND FINANCIAL SERVICES, LLC; INVESTMENT RELATED; 190 US 1, #238, FALMOUTH, ME 04105; INSURANCE PRODUCER ACTIVITIES; OWNER AND INSURANCE PRODUCER; 06/2010; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; INSURANCE PRODUCTION ACTIVITIES. 2) PIKE FINANCIAL GROUP, LLC; NON-INVESTMENT RELATED; 289 MIDDLE ROAD, FALMOUTH, ME 04105; LEGAL ENTITY CREATED TO RECEIVE COMMISSIONS; OWNER AND PRESIDENT; 06/2010; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; MANAGE THE COMPANY'S BUSINESS AFFAIRS. 3) LANDING REAL ESTATE; 780 BROADWAY, SOUTH PORTLAND, ME 04106; REAL ESTATE LISTING AND SALES BROKERAGE; ASSOCIATE BROKER; 04/2009; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; REAL ESTATE BROKER. 4) WILLIAM D. PIKE; NON-INVESTMENT RELATED; 289 MIDDLE ROAD, FALMOUTH, ME 04105; INVESTMENT PROPERTY MANAGEMENT; LANDLORD; 08/2016; APPROX. 10 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; LANDLORD FOR RENTAL PROPERTIES IN MAINE AND FLORIDA. 5) CARROLL HARPER & ASSOCIATES INC.; INVESTMENT RELATED; 396 MAIN STREET, PO BOX 1420, SOUTHWEST HARBOR, ME 04679; INSURANCE PRODUCER ACTIVITIES; INDEPENDENT INSURANCE PRODUCER; 03/2022; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; INSURANCE PRODUCTION ACTIVITIES.

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-05-29
• S63 Uniform Securities Agent State Law Examination
  1996-06-03

Other Names

• William Pike
• Bill Pike