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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2022-05-18 |
Branch Locations
129 Federal Road, Parsonsfield, ME 04047 • United States
188 U.S. Route 1, Falmouth, ME 04105 • United States
790 Main Street, Westbrook, ME 04092 • United States
233 Main Street, Yarmouth, ME 04096 • United States
439 Us Route 1, Scarborough, ME 04074 • United States
780 Roosevelt Trl, Windham, ME 04062 • United States
112 Maine Street, Brunswick, ME 04011 • United States
100 Main Street, Kennebunk, ME 04043 • United States
8 Norton Street, South Berwick, ME 03908 • United States
11 Woodbridge Road, York, ME 03909 • United States
Saco, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Eqis Capital Management, Inc. | San Rafael | CA | 07/2015 | 02/2018 |
| Morgan Stanley Smith Barney Llc | Portland | ME | 02/2018 | 08/2020 |
| Cardea Capital Advisors, Llc | Atlanta | GA | 03/2021 | 06/2021 |
| Cardea Capital Group, Inc. | Atlanta | GA | 03/2021 | 06/2021 |
| Unemployed | Unemployed | ME | 08/2020 | 03/2021 |
| Cuna Brokerage Services | Waverly | IA | 08/2021 | 05/2022 |
| Cuna Mutual Group | Wavery | IA | 08/2021 | 05/2022 |
| Unemployed | Atlanta | GA | 06/2021 | 08/2021 |
| Lpl Financial Llc | Topsham | ME | 05/2022 | Present |
1. 05-18-2022-Atlantic Financial Services- Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- 2. 01/08/2024 - Wilmington Advisors @M&T - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)-
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-10-27 |
| S65 | Uniform Investment Adviser Law Examination | 1994-03-08 |
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