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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| ME | RA | APPROVED | 2017-03-07 |
Branch Locations
5 Fundy Rd Suite 2C, Falmouth, ME 04105 • United States
155 Center Street Building G, Auburn, ME 04210 • United States
261 Bath Road Suite B, Brunswick, ME 04011 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Guardian Life Insurance Company | New York | NY | 10/1995 | Present |
| Commonwealth Equity Services, Inc. | Falmouth | ME | 06/1998 | Present |
| Casco Bay Wealth Advisors | Portland | ME | 12/2013 | Present |
1. Fixed insurance sales, as of 2002, 5% of time spent during business hours, conducted at branch, investment related. 2. CBWA Holdings, LLC, part owner, a private entity created as operating company for securities business, as of 11/2013, 100% of time spent during business hours, conducted at branch, investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-05 |
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