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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2010-01-21
  • ME RA
    APPROVED
    Since 2010-01-21

Branch Locations

2 Bridge Street, Millbridge, ME 04658 • United States

41 Main Street, Machias, ME 04654 • United States

385 Main Street, Winter Harbor, ME 04693 • United States

68 Washington Street, Lubec, ME 04652 • United States

135 High Street, Ellsworth, ME 04605 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Ellsworth ME 04/2008 Present
Bar Harbor Bank & Trust Ellsworth ME 01/2010 Present
Infinex Investments, Inc. Ellsworth ME 01/2010 Present
  • 04/2008 → Present
    Lpl Financial
    Ellsworth, ME
  • 01/2010 → Present
    Bar Harbor Bank & Trust
    Ellsworth, ME
  • 01/2010 → Present
    Infinex Investments, Inc.
    Ellsworth, ME
Previous Registrations
  • 2008-04-15 → 2010-01-08
    Ellsworth, ME
    Portland, ME
    San Diego, CA
    Ellsworth, ME
  • 2004-03-30 → 2008-04-18
    Uvest Financial Services Group, Inc.
    Ellsworth, ME
    Ellsworth, ME
Other Businesses

1. 4/15/08- RENEWALS FROM PAST INSURANCE & HEALTH INSURANCE GROUP- LES THAN 1 HOUR A WEEK - ELLSWORTH, ME 2. 4/15/08- COMMERCIAL SHELLFISH, SELLING CLAMS- LESS THAN ONE HOUR A WEEK - ELLSWORTH, ME 3. 4/15/08- HARVEST AND SELLS BLUEBERRIES- LESS THAN ONE HOUR A WEEK- ELLSWORTH, ME

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-25
  • S66 Uniform Combined State Law Examination
    2004-03-25

View on SEC IAPD

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