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362 Us Route One, Falmouth, ME 04105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2023-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rm Financial Services, Llc | Falmouth | ME | 09/2018 | Present |
| Rm Financial Services, Llc | Falmouth | ME | 01/2015 | 09/2018 |
| Rm Financial Services, Llc | Falmouth | ME | 02/2023 | Present |
| Next Financial Group, Inc | Falmouth | ME | 09/2020 | 10/2023 |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2023 | Present |
1) RM FINANCIAL SERVICES, LLC POSITION: Employee NATURE: Independent Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2019 ADDRESS: 362 US Route One, Falmouth ME 04105, United States DESCRIPTION: Administrative and Operational. 2) STONE BAR, INC. POSITION: Treasurer NATURE: Restaurant INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: Business Route 209, Snydersville, PA, United States DESCRIPTION: Treasurer 3) SNYDERSVILLE CORP POSITION: Treasurer NATURE: Real Estate Holding Company INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: Business Route 209, Snydersville, PA, United States DESCRIPTION: Treasurer 4) PKSF. Investment Related - Yes. At registered location. Fixed Insurance/ Annuity. Agent. 10/18/2023. 0 Hrs. 0 hrs. Provide insurance advice to base on the needs of client(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-22 |
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