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81 Bridge Street, Yarmouth, ME 04096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2026-07-14 |
Branch Locations
South Portland, ME • United States
81 Bridge Street, Yarmouth, ME 04096 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Smithfield | RI | 07/2012 | 01/2018 |
| As Consulting, Llc | South Portland | ME | 05/2018 | Present |
| Maiden Cove Capital | Yarmouth | ME | 05/2020 | Present |
| Wealth Management Transitions | San Anselmo | CA | 11/2022 | Present |
| National Financial Services Llc | Smithfield | RI | 01/2018 | 04/2018 |
1) AS CONSULTING, LLC; NON-INVESTMENT RELATED; 439 US ROUTE 1, STE A, YORK, ME 03909; FINANCIAL INDUSTRY BUSINESS AND OPERATIONS CONSULTANCY; OWNER AND MANAGING MEMBER; 04/2018; APPROX. 60 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; OWNER AND OPERATOR OF CONSULTING COMPANY ADVISING FINANCIAL INDUSTRY FIRMS ON BUSINESS AND OPERATIONS. 2) WEALTH MANAGEMENT TRANSITIONS; NON-INVESTMENT RELATED; SAN ANSELMO, CA; FINANCIAL INDUSTRY TRANSITIONS CONSULTANCY; CONSULTANT; 11/2022; APPROX. 20 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; CONSULTANT ADVISING WEALTH MANAGERS IN THEIR TRANSITIONS TO NEW INDEPENDENT FIRMS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-05-06 |
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