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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Southwest Harbor, ME

Every SEC-registered investment adviser representative at a firm office in Southwest Harbor, with the firms that employ the most of them.

2 registered advisors work in Southwest Harbor; the most are at Commonwealth Financial Network (1). 1 list the CFP designation and 2 are also registered broker representatives.

Firms with the most advisors in Southwest Harbor

FirmAdvisors in Southwest Harbor
Commonwealth Financial Network news1
UBS Financial Services Inc. news1

Advisors in Southwest Harbor, A to Z

CFP advisors in Southwest Harbor →

Other cities in Maine

All of Maine →

Portland 361Bangor 79Falmouth 56Scarborough 43South Portland 32Lewiston 27Waterville 27Brunswick 22Auburn 19Westbrook 18Camden 17Kennebunk 16Augusta 14Biddeford 14Saco 13Yarmouth 12Bar Harbor 10Ellsworth 10Gardiner 10Wells 10York 10Cumberland Foreside 9Presque Isle 9Windham 9

Questions

How many financial advisors are in Southwest Harbor, ME?

2 investment adviser representatives are registered at firm offices in Southwest Harbor, Maine, according to the SEC's Investment Adviser Public Disclosure records. 2 of them are also registered as broker representatives, and 1 list the CFP designation.

Which firm has the most financial advisors in Southwest Harbor?

Commonwealth Financial Network, with 1 registered advisors in Southwest Harbor, followed by UBS Financial Services Inc. with 1.

How do I check a financial advisor in Southwest Harbor?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.