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Katherine Marie Higgins

LPl Financial LLC

Waterville, ME

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2023-12-13
  • ME RA
    APPROVED
    Since 2023-12-13

Branch Locations

129 Silver Street, Waterville, ME 04901 • 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
Golden Pond Wealth Management (Lpl Financial) Waterville ME 01/2022 01/2023
Silverstein Law, P.A. Bangor ME 05/2019 01/2022
Jersey's Subs & Sweets Bangor ME 01/2018 05/2019
Marshall's Department Store Bangor ME 08/2016 05/2018
Husson University Bangor ME 08/2016 05/2021
Lpl Financial Llc Waterville ME 01/2022 Present
  • 01/2022 → 01/2023
    Golden Pond Wealth Management (Lpl Financial)
    Waterville, ME
  • 05/2019 → 01/2022
    Silverstein Law, P.A.
    Bangor, ME
  • 01/2018 → 05/2019
    Jersey's Subs & Sweets
    Bangor, ME
  • 08/2016 → 05/2018
    Marshall's Department Store
    Bangor, ME
  • 08/2016 → 05/2021
    Husson University
    Bangor, ME
  • 01/2022 → Present
    Waterville, ME
Other Businesses

1- 01/2023 / NOTARY / INVESTMENT RELATED / Waterville, ME 2- 01/2023 / Golden Pond Wealth Management / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / Waterville, ME

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-06
  • S66 Uniform Combined State Law Examination
    2023-12-06

View on SEC IAPD

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