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Investment Advisor
License Description Investment advisors work as professionals within the financial industry by providing guidance to clients in exchange for specific fees.
Licensing Agency
Maine Department of Professional & Financial Regulation
Office of Professional and Occupational Regulation
Gardiner Annex/ 76 Northern Ave, 35 State House Station
Augusta, ME 04333-0035
(207) 624 8603
Active Status Active
Continuing Education No continuing education requirement to maintain license
Criminal Record No criminal record prohibitions
Education No educational requirements
Exam State exam required
License Type Tied to business
License Updated 06/17/2022

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