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22 Monument Square Suite 300, Portland, ME 04101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-03 |
| ME | RA | APPROVED | 2019-05-09 |
Branch Locations
22 Monument Square Suite 300, Portland, ME 04101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 01/2015 | 05/2019 |
| Great Diamond Partners Llc | Portalnd | ME | 05/2019 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2019 | 10/2019 |
1) FIXED INSURANCE. INVESTMENT RELATED. LOCATED AT 18 CORPORATE WOODS BLVD., 4TH FLOOR, ALBANY, NY 12211. PROVIDE FIXED INSURANCE TO CLIENTS. TITLE IS REGISTERED REP. STARTED 5/19. 5 HOURS DEVOTED - 1 DURING TRADING. DUTIES ARE TO PROVIDE FINANCIAL ADVICE TO FAMILIES AND INDIVIDUALS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-07 |
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