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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-02-29 |
Branch Locations
95 Main Street Suite 101, Auburn, ME 04210 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Burlington Alliance Capital Management | Burlington | NC | 11/2022 | 08/2023 |
| Sluggers Baseball & Softball Training Facility | Brewer | ME | 08/2020 | 06/2023 |
| Sw Collins | Houlton | ME | 04/2020 | 06/2020 |
| Unemployed | N/A | ME | 09/2019 | 04/2020 |
| Houlton High School | Houlton | ME | 06/2019 | 09/2019 |
| Jc Penny | Bangor | ME | 09/2018 | 06/2019 |
| Olympia Sports | Houlton | ME | 08/2016 | 12/2018 |
| Town Of Littleton | Littleton | ME | 07/2018 | 09/2018 |
| Jc Penny | Bangor | ME | 10/2017 | 05/2018 |
| Houlton High School | Houlton | ME | 08/2013 | 06/2017 |
| Husson University | Bangor | ME | 08/2017 | 05/2022 |
| Integrity Advisory Solutions, Llc | Burlington | NC | 01/2023 | 01/2024 |
| Northern Alliance Financial | Brewer | ME | 01/2024 | Present |
| Foundations Investment Advisors, Llc | Phoenix | AZ | 02/2024 | Present |
NORTHERN ALLIANCE FINANCIAL; INVESTMENT-RELATED: YES; 43 ACME ROAD BREWER, ME 04412; START DATE: 05/01/2026; NON-LEGAL ESTATE PLANNING ADMINISTRATIVE SERVICES USING 3RD PARTY ENCOR ESTATE; DUTIES INCLUDE NON-LEGAL SERVICES TO ASSIST CLIENTS WITH DOCUMENT ORGANIZATION, DATA ENTRY, AND PLATFORM NAVIGATION RELATED TO ESTATE PLANNING SOFTWARE. 8 HRS/MONTH DEVOTED TO THE OTHER BUSINESS; 8 HRS/MONTH DEVOTED TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-10 |
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