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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2021-06-29
  • ME RA
    APPROVED
    Since 2021-06-29

Branch Locations

11 Washington St, Waterville, ME 04901 • United States

181 Lower Main St, Freeport, ME 04032 • United States

Winslow, ME • United States

150 State St, Augusta, ME 04330 • United States

84 Main St, Winthrop, ME 04364 • United States

226 Main St, Waterville, ME 04901 • United States

53 Baxter Blvd, Portland, ME 04101 • United States

1 Northern Ave, Farmingdale, ME 04344 • 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
University Of Maine Orono ME 09/2013 05/2017
University Of Maine Orono ME 09/2016 05/2017
Kennebec Savings Bank Augusta ME 05/2017 05/2018
Lpl Financial Llc Waterville ME 11/2017 05/2018
Axa Advisors, Llc New York NY 07/2018 09/2018
Unemployed St. Louis MO 05/2018 06/2018
Stifel Nicolaus & Co Inc St. Louis MO 11/2018 02/2021
Schnucks Ladue MO 11/2018 05/2019
Stone Coast Fund Services Portland ME 02/2021 06/2021
Lpl Financial Llc Augusta ME 06/2021 Present
Kennebec Wealth Management Augusta ME 06/2021 Present
  • 09/2013 → 05/2017
    University Of Maine
    Orono, ME
  • 09/2016 → 05/2017
    University Of Maine
    Orono, ME
  • 05/2017 → 05/2018
    Kennebec Savings Bank
    Augusta, ME
  • 11/2017 → 05/2018
    Waterville, ME
  • 07/2018 → 09/2018
    Axa Advisors, Llc
    New York, NY
  • 05/2018 → 06/2018
    Unemployed
    St. Louis, MO
  • 11/2018 → 02/2021
    Stifel Nicolaus & Co Inc
    St. Louis, MO
  • 11/2018 → 05/2019
    Schnucks
    Ladue, MO
  • 02/2021 → 06/2021
    Stone Coast Fund Services
    Portland, ME
  • 06/2021 → Present
    Augusta, ME
  • 06/2021 → Present
    Kennebec Wealth Management
    Augusta, ME
Previous Registrations
Other Businesses

1. 6/29/2021 - Kennebec Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-09
  • S66 Uniform Combined State Law Examination
    2018-03-09

View on SEC IAPD

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