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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2022-10-25 |
Branch Locations
23 Water Street Suite 303, Bangor, ME 04401-6373 • United States
Dedham, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Questar Capital Corporation | Minneapolis | MN | 08/2013 | 08/2017 |
| Wells Fargo Clearing Services Llc | Bangor | ME | 08/2017 | 10/2022 |
| Rbc Capital Markets, Llc | Bangor | ME | 10/2022 | Present |
(1) MIDLAND NATIONAL, AIG, RELIANCE STANDARD, PROTECTIVE LIFE AND MINNESOTA LIFE, TRAIL COMMISSIONS FROM DISABILITY INSURANCE CLAIMS. (2) POWER OF ATTORNEY FOR MOTHER; INV. RELATED; BALLSTON LAKE, NY; START DATE 11/2019; 2 HRS PER MONTH; 0 HRS DURING TRADING. (3) TRUSTEE FOR MOTHER'S TRUST; INV. RELATED; BALLSTON LAKE, NY; START DATE 11/2019; 2 HRS PER MONTH; 0 HRS DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-30 |
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