user avatar

Joel Brotherton

Advisor at Principal Financial Services

Updated today

Location

Surry, ME

Credentials

Series 63, Series 65

Industry experience

22 years

About

Joel Brotherton is a financial advisor with Principal Financial Services, holding Series 63 and Series 65 credentials and 22 years of industry experience. He has worked at Principal Securities Inc. since 2016 and at Principal Life Insurance Company since 2004. Outside of his advisory role, he is involved in managing a condominium rental property in Costa Rica. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, charitable organizations, corporations, and active-duty U.S. military personnel stationed abroad. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager solutions through various advisory and promoter arrangements.

Client services

Based on Principal Financial Services

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Occupation focus

Based on Principal Financial Services

Retired Founder/Business Owner

Not sure if this advisor is right for you?

Answer a few questions to see advisors matched to you.

Fee options

Percentage

$0 - $149,999: Up to 1.75% $150,000 - $249,999: Up to 1.75% $250,000 - $500,000: Up to 1.75% $500,001 - $999,999: Up to 1.20% $1,000,000 - >$2,000,000: Up to 1.10% to 0.90% (SEI Mutual Fund Model Program tiered beyond $1,000,000)

Project-based
Subscriptions

Location

Surry, ME

Most active in

Maine · Texas

Work history

Principal Securities INC

2016 - Present (10 years)

PRINCIPAL LIFE INSURANCE COMPANY

2004 - Present (22 years)

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

user avatar

Paul P

CFP®, Series 65

Ellsworth, ME

Gibson Financial Solutions, Inc.

Paul Pangburn is a CFP® with 17 years of industry experience and has been with Gibson Financial Solutions, Inc. since 2007. He holds a Series 65 license and operates out of Ellsworth, ME. Gibson Financial Solutions, Inc. is a fee-only advisory firm serving individuals, high-net-worth families, trusts, estates, charitable organizations, small businesses, and retirement plans. The firm employs a core-satellite investment approach using no-load mutual funds, ETFs, and fixed-income securities, with discretionary management and a focus on integrating financial planning into portfolio oversight.

General retirement planning General tax planning College savings (529s, UTMA, etc.) General estate planning guidance Cash flow / budgeting
user avatar

Andrew N

Series 63, Series 65

Blue H Ill, ME

AMWH Asset Management LLC

Andrew Norris is a financial advisor at AMWH Asset Management LLC with 24 years of industry experience. He holds Series 63 and Series 65 designations and has worked previously at Lazard Asset Management and Hollow Brook Wealth Management, where he also serves as a board member. Outside of advisory work, he is a joint owner of a real estate development business. AMWH Asset Management provides portfolio management and advisory services to individual investors, small businesses, trusts, estates, pooled investment vehicles, and charities. The firm employs a mixed analytical approach, including fundamental, technical, and charting analysis, and offers tailored investment programs that may be managed on a discretionary basis.

Options & derivatives strategies Tax-loss harvesting
user avatar

Robert P

Series 63, Series 65

Ellsworth, ME

Advisory Services Network

Robert Pendergist is a financial advisor with Advisory Services Network and holds Series 63 and Series 65 licenses. He has 23 years of industry experience, having worked at firms including Shore Point Advisors, LPL Financial, and Guardian Life Insurance. Outside of his advisory work, he serves as Chairman of the Board for USA Surfing, overseeing regulatory and governance matters. Advisory Services Network supports individuals, families, corporations, charitable organizations, and employer retirement plans through a network of over 200 independent advisors. The firm offers portfolio management, financial planning, and investment consulting services with a focus on tailored strategies across a broad range of asset classes.

Wealth management Private / alternative investments Business succession planning Equity compensation tax strategy Founder/Business Owner Executive
user avatar

Sonya M

Series 63, Series 65

Ellsworth, ME

OSAIC Institutions, INC.

Sonya Mitchell is a financial advisor at OSAIC Institutions, INC. with 24 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Infinex Investments, Inc. and Bar Harbor Banking & Trust Company since 2004. Osaic Institutions serves individuals, charitable organizations, corporations, and retirement plans by offering advisory and brokerage services through customized engagements and access to alternative investments. The firm employs a network of investment adviser representatives who provide both discretionary and non-discretionary solutions, supported by extensive partnerships with banks and credit unions.

Annuities Tax-loss harvesting Founder/Business Owner Executive
user avatar

Ryan B

CFP®, Series 65

Ellsworth, ME

wealth Enhancement Advisory Services, LLC

Ryan Bartlett is a CFP® with 10 years of industry experience, currently serving as a financial advisor at Wealth Enhancement Advisory Services, LLC. Prior to joining the firm, he worked for 13 years at VanceGray Wealth Management, Inc. Bartlett is a board member of the Husson University Alumni Association in Bangor, ME. Wealth Enhancement Advisory Services, LLC is an SEC-registered enterprise advisory firm that serves a diverse client base including individuals, trusts, estates, charitable organizations, corporations, and retirement plans. The firm employs a strategic investment approach combining passive and active management, supported by an internal Investment Committee and research integrating quantitative and fundamental analysis.

Active portfolio management Factor investing / smart beta Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Executive Founder/Business Owner Retired HENRY (High Earners, Not Rich Yet) Mid-Career Professionals Approaching retirement Baby Boomers (Born 1946-1964)
user avatar

Dennis K

Series 66

Ellsworth, ME

OSAIC Institutions, INC.

Dennis Kinghorn is a financial advisor at OSAIC Institutions, INC. with 29 years of industry experience. He holds a Series 66 designation and has worked with Infinex Investments, Inc., Bar Harbor Bank & Trust, and LPL Financial. Outside of his advisory role, he is involved in small-scale commercial activities including shellfish sales and blueberry harvesting. Osaic Institutions serves individuals, charitable organizations, corporations, and retirement plans, offering customized advisory and brokerage services. The firm provides access to alternative investments and lending solutions, with a notable focus on non-discretionary assets and a dual broker-dealer/adviser structure.

Annuities Tax-loss harvesting Founder/Business Owner Executive
Warmer team member

Not sure where to start?

We'll help you think it through — whether you ultimately need an advisor or not.

Warmer helps you compare advisors clearly — so you can choose with confidence.

Find your advisor
Discover

Compare top advisor firms by metric, firm size, and location.

Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.

Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.

For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.

By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev

© 2026 Warmer Holdings Inc. ("Warmer")