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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-03-21 |
| TX | RA | APPROVED | 2024-03-21 |
Branch Locations
707 Sable Oaks Drive Suite 203, South Portland, ME 04106 • United States
45 Memorial Circle Suite 104, Augusta, ME 04330 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investors Capital Corp | Lynnfield | MA | 01/2011 | 09/2016 |
| Cetera Advisors Llc | Denver | CO | 10/2016 | Present |
| Iis Financial Services | Augusta | ME | 07/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2024 | Present |
| Pine Harbor Advisors | South Portland | ME | 07/2025 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/01/2013; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE. 2. NAME OF OTHER BUSINESS: DAVID HANSON - LANDLORD; INVESTMENT RELATED: NO ADDRESS: VARIOUS PROPERTIES (ME & MA) NATURE OF BUSINESS: REAL ESTATE RENTALS; START DATE: 09/15/2014; POSITION/TITLE/RELATIONSHIP: LANDLORD; APX NUMBER OF HOURS PER WEEK: 1-2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY INCOME. 3. NAME OF OTHER BUSINESS: DBA IIS FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 07/01/2013; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40+ HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS. 4. NAME OF OTHER BUSINESS: PINE HARBOR ADVISORS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 7/2025, POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-15 |
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