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346 Commercial Street, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2023-04-28 |
Branch Locations
701 Us Route 1 Suite 4, Yarmouth, ME 04096 • United States
346 Commercial Street, Boston, MA 02109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Yarmouth | ME | 07/2016 | Present |
| Shepard Financial Llc | Yarmouth | ME | 02/2020 | Present |
| Flagship Harbor Advisors, Llc | Yarmouth | ME | 04/2023 | Present |
1) 07/15/2016 - SHEPARD FINANCIAL LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 06/30/2016 - 120 hr/mth 2) 07/15/2016 - NOTARY - start: 07/29/2013. 3) 12/14/2016 - FLAGSHIP HARBOR ADVISORS - DBA: (Hybrid) Flagship Harbor Advisors - Investment Related - At Reported Business Location(s) - 120 Hours Per Month - I provide administrative support to Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in 12/5/16. I expect to spend approximately 120 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-19 |
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