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Robert C

CFP®

Readfield, ME

Stewardship Financial Plainning, LLC

Robert Corey is a CFP® professional with 24 years of experience in financial advising. He has been the sole advisor at Stewardship Financial Planning, LLC since 2002. Stewardship Financial Planning is an independent, fee-only advisory practice serving individuals, high-net-worth clients, trusts, and business entities. The firm combines fundamental and technical analysis with a long-term investment approach focused on diversified portfolios of no-load mutual funds and ETFs, managing approximately $56 million in client assets on a non-discretionary basis while also providing integrated financial planning and tax preparation services.

General retirement planning Wealth management Tax-loss harvesting College savings (529s, UTMA, etc.)
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Sage D

Series 65

Winslow, ME

Wealthy with Intention

Sage Duguay is a financial advisor at Wealthy with Intention with one year of industry experience and holds a Series 65 designation. Prior to founding Wealthy with Intention, Sage worked in the forest products and packaging industries and currently provides business intelligence and strategic consulting for the pulp and paper sector through an independent consulting role. Additionally, Sage operates a separate business offering general financial education seminars. Wealthy with Intention is an independent, fee-only advisory firm serving individuals, including high-net-worth clients, with comprehensive financial planning services. The firm does not provide discretionary investment management or custody client assets and charges for planning on an hourly and fixed-fee basis rather than by assets under management.

Business sale tax planning Business ownership considerations Cash flow / budgeting College savings (529s, UTMA, etc.)
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Kenneth D

Series 66

Winthrop, ME

Azimuth Capital Management, LLC

Kenneth Daley is a financial advisor at Azimuth Capital Management, LLC with 17 years of industry experience. He holds a Series 66 designation and has been with Azimuth Capital Management since 2012. Outside of his advisory role, he owns and operates Focused Fitness Ultimate Edge Karate, where he teaches martial arts classes twice a week. Azimuth Capital Management provides investment advisory and financial planning services to individuals, high-net-worth clients, trusts, estates, charitable organizations, and corporate clients. The firm employs a fundamentally oriented, long-term investment approach, offering tailored portfolios constructed from low-cost mutual funds, ETFs, individual securities, and unit investment trusts, with continuous monitoring and periodic reviews.

Wealth management
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Craig S

Series 63, Series 65

Augusta, ME

Maine Center for Wealth Management, LLC

Craig Stevens is a financial advisor with Maine Center for Wealth Management, LLC, holding Series 63 and Series 65 licenses and 14 years of industry experience. He has been with Maine Center for Wealth Management since 2010 and also operates Stevens Law Offices, PA, where he practices estate planning. Stevens serves as an independent insurance agent offering life and annuity products and manages Dirigo Ventures LLC, a property management business. Maine Center for Wealth Management provides wealth management, discretionary portfolio management, and financial planning to individuals, families, trusts, estates, retirement plans, and businesses. The firm constructs portfolios tailored to clients’ investment objectives and risk tolerance, emphasizing ETFs over mutual funds and typically managing assets on a discretionary basis.

General retirement planning Charitable giving & philanthropy College savings (529s, UTMA, etc.) Attorney
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Abigail G

Series 65

Belgrade, ME

Tonge Investments

Abigail Genovese is a financial advisor at Tonge Investments in Belgrade, ME, holding a Series 65 designation with over a decade of professional experience. Her background includes ten years with the Central Intelligence Agency and a year at Fidelity Investments. Tonge Investment Services provides fee-based portfolio management for individual investors, pension plans, trusts, and retirement plans, using discretionary strategies that incorporate technical analysis, derivatives, and leveraged ETFs to guide asset allocation and enhance income-oriented accounts.

Options & derivatives strategies Passive / index investing
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John D

Series 63, Series 65

Manchester, ME

Kelly & Associates, LLC

John Duval Sr. is a financial advisor with Kelly & Associates, LLC in Manchester, ME, holding Series 63 and Series 65 licenses and possessing 10 years of industry experience. He has been with Kelly & Associates since 2015 and concurrently operates John Duval Associates, a litigation consulting business where he serves as owner and expert witness in FINRA securities cases. Kelly & Associates, LLC provides investment supervisory services and portfolio management to individuals, pension and profit-sharing plans, charitable organizations, and small businesses. The firm emphasizes individualized investment policies, asset allocation, and low-turnover asset-class investing, managing client accounts primarily on a non-discretionary basis and incorporating tax-aware strategies.

Passive / index investing Options & derivatives strategies
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Richard T

Series 63, Series 65

Belgrade, ME

Tonge Investments

Richard Tonge is the sole advisor at Tonge Investments in Belgrade, ME, holding Series 63 and Series 65 licenses with 46 years of industry experience. He has operated Tonge Investment Services since 1997. He also maintains an insurance license to sell and manage annuities. Tonge Investment Services provides fee-based portfolio management for individual investors, pension plans, trusts, and retirement plans, using discretionary strategies that include equities, mutual funds, ETFs, options, and bonds. The firm primarily employs technical analysis, such as point-and-figure charting and relative strength, to guide asset allocation and utilizes derivatives and leveraged ETFs selectively within client objectives.

Options & derivatives strategies Passive / index investing
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Troy K

Series 63, Series 65

Winthrop, ME

Compass Capital Corporation

Troy Knowlan is a financial advisor with Compass Capital Corporation in Winthrop, ME, holding Series 63 and Series 65 credentials and over 25 years of industry experience. He has worked with Compass Securities Corp. since 2000 and also serves as the controller of O'Connor GMC, Inc., managing accounting and finance for the auto dealership. Compass Capital Corporation provides personalized financial planning and investment management to individuals, pension and profit-sharing plans, trusts, estates, charitable organizations, and small businesses. The firm employs a software-driven investment approach focused on asset allocation and portfolio optimization, utilizing ETFs, mutual funds, equities, fixed income, and cash equivalents.

General retirement planning Retirement income strategy Wealth management Retired
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Alexander M

Series 63, Series 66

Waterville, ME

Exodus Wealth, LLC

Alexander Merrill is a financial advisor at Exodus Wealth, LLC with four years of industry experience. He holds Series 63 and Series 66 licenses and previously worked at Fortune Financial Services Inc and Maine Maintenance Plus LLC. Exodus Wealth serves individuals, trusts, estates, charitable organizations, and pension/profit-sharing plans by providing asset management, financial planning, and consulting services. The firm manages several hundred million dollars in discretionary assets and employs a combination of fundamental, technical, and cyclical analysis with tailored portfolio supervision.

Options & derivatives strategies Charitable giving & philanthropy
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Ronald M

Series 63, Series 66

Waterville, ME

Exodus Wealth, LLC

Ronald Merrill is a financial advisor with Exodus Wealth, LLC, holding Series 63 and Series 66 designations and bringing 41 years of industry experience. His prior work includes roles at Prosperity Wealth Management, Inc., Fortune Financial Services, Inc., Voya Financial Advisors, and Securities America. Merrill also works as an independent insurance agent specializing in fixed insurance products. Exodus Wealth serves individuals, trusts, estates, charitable organizations, and pension/profit-sharing plans, providing asset management, financial planning, and consulting services. The firm manages several hundred million dollars in discretionary assets, employing a mix of fundamental, technical, and cyclical analysis across diverse investment strategies with regular portfolio reviews and due diligence on third-party managers.

Options & derivatives strategies Charitable giving & philanthropy
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Joseph B

Series 63, Series 65

Augusta, ME

Simplicity wealth

Joseph Bean is a financial advisor at Simplicity Wealth with one year of industry experience. He holds Series 63 and Series 65 registrations. Outside of his advisory role, he is involved with Principled Agency, where he provides insurance services related to health, Medicare, life, disability, supplemental insurance, and annuities. Simplicity Wealth serves a diverse client base, including individual and high-net-worth investors, retirement plans, corporate and institutional investors, and other financial firms. The firm employs a fund-of-funds investment approach using ETFs, mutual funds, and individual securities, offering various portfolio management and retirement plan services alongside technology and operational support for advisers.

Tax-loss harvesting ESG / Sustainable investing Passive / index investing Wealth management Retired Founder/Business Owner Values-based investing
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Anima N

CFP®

Winslow, ME

Encompass More Asset Management LLC

Anima Nikonthet is a CFP® professional with two years of experience at Encompass More Asset Management LLC. She has worked at PricewaterhouseCooper LLC since 2015 and operates Anima CPA, where she provides tax services as a director. She is also an owner and manager of several restaurants, including Asian Cafe, Asian Noodle Bowl, and Splash of Thai. Encompass More Asset Management LLC offers discretionary portfolio management, financial planning, and retirement model services primarily to individual and high-net-worth clients. The firm employs model-based strategies that include a variety of investment options and manages approximately $985 million across about 85 advisers.

Private / alternative investments
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Dean J

Series 66

Hallowell, ME

Commonwealth Financial Network

Dean Jackman is a financial advisor with Commonwealth Financial Network who holds a Series 66 designation and has three years of industry experience. His prior roles include positions at Ameriprise and Duncklee & Nott. He is also involved with Fourteen Forty Financial, LLC in an advisory capacity. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser serving a national network of approximately 2,900 affiliated advisors and managing over $212 billion in client assets. The firm offers a comprehensive adviser-support platform with discretionary and nondiscretionary managed-account programs, access to third-party asset managers, and a variety of investment options.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Stephanie F

Series 63, Series 66

Sidney, ME

Valic Financial Advisors

Stephanie Fecteau is a financial advisor with Valic Financial Advisors in Sidney, ME, holding Series 63 and Series 66 licenses and possessing seven years of industry experience. She has worked at Valic Financial Advisors since 2018 and previously held roles at Agia and MainePERS. Outside of finance, she serves as Treasurer for the Central Maine Babe Ruth League and is an independent beauty consultant for Mary Kay, Inc. Valic Financial Advisors primarily serves U.S. individuals, including high net worth clients and employer-sponsored retirement participants, offering wrap programs, portfolio management, and financial planning services through a large network of advisors. The firm uses discretionary unified managed accounts with third-party model managers and emphasizes a technology-driven approach supported by a sizable client base and advisor network.

ESG / Sustainable investing Tax-loss harvesting Retirement income strategy
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Christopher B

Series 66

Waterville, ME

Commonwealth Financial Network

Christopher Beaulieu is a financial advisor at Commonwealth Financial Network with four years of industry experience. He holds a Series 66 designation and has previously worked at Mathews Brothers and Allen Financial. Commonwealth Financial Network is a registered investment adviser serving a national network of approximately 2,950 advisors and their retail and institutional clients. The firm provides a range of advisory programs and support services, including discretionary model portfolios and personalized investment solutions, while acting as a platform and back-office provider to affiliated advisors.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Kenneth N

CFP®, Series 66

Hallowell, ME

Commonwealth Financial Network

Kenneth Nott is a CFP® with 20 years of industry experience, currently affiliated with Commonwealth Financial Network. He has worked at Commonwealth since 2006 and is a co-owner of Duncklee & Nott, a private entity facilitating securities, advisory, and insurance business. Outside of his advisory work, he coaches junior varsity girls' soccer in Farmingdale, Maine. Commonwealth Financial Network serves a national network of approximately 2,950 advisors and their clients, providing a range of advisory programs, investment management, and back-office support. The firm offers multiple portfolio management options and distinct program structures, supporting advisors with operations, technology, compliance, and practice management.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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Erika B

Series 66

Augusta, ME

Bankers Life Advisory Services, Inc.

Erika Barden is a Series 66-licensed financial advisor with Bankers Life Advisory Services, Inc. in Augusta, Maine. She has one year of industry experience and is also appointed as an insurance agent with Bankers Life & Casualty, Inc., where she writes Medicare supplement, annuity, life, health, and long-term care insurance products. Bankers Life Advisory Services, Inc. primarily serves mass-affluent and high-net-worth individuals through discretionary portfolio management, investment consulting, and retirement plan services. The firm employs a combination of fundamental, technical, and cyclical analysis to tailor asset allocations and manages portfolios across various securities to align with clients’ goals and risk tolerances.

Wealth management Retired
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Lucas M

Series 63, Series 66

Augusta, ME

Key Investment Services LLC

Lucas Mc Daniels is a financial advisor at Key Investment Services LLC with 10 years of industry experience. He holds Series 63 and Series 66 designations and has been with Key Investment Services in various capacities since 2015. Outside of his advisory role, he serves as a landlord for an apartment above his home. Key Investment Services LLC is an SEC-registered investment adviser that offers portfolio management and model-based advisory products to individuals, trusts, estates, small businesses, and institutional clients through a network of financial professionals. The firm delivers multiple wrap-fee programs and integrates services from KeyCorp affiliates, combining discretionary implementation and third-party manager oversight.

ESG / Sustainable investing Tax-loss harvesting Passive / index investing Doctor or Medical Professional Founder/Business Owner Retired Values-based investing
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Steven S

Series 63, Series 65

China, ME

OSAIC Institutions, INC.

Steven Smith is a financial advisor at OSAIC Institutions, INC. with 23 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including Bar Harbor Bank & Trust, Infinex Investments, Inc., and People's United Advisors, Inc. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients. The firm offers customized advisory services, financial planning, and access to alternative investments, operating through a hybrid adviser/broker-dealer structure that provides both discretionary and non-discretionary management solutions.

Annuities Tax-loss harvesting Founder/Business Owner Executive
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Christian B

Series 63, Series 66

Belgrade, ME

Commonwealth Financial Network

Christian Bishop is a financial advisor with Commonwealth Financial Network in Belgrade, Maine, holding Series 63 and Series 66 registrations and with 30 years of industry experience. He has been affiliated with Commonwealth Financial Network since 2002 and has worked at Casco Bay Wealth Advisors since 2013. Outside of his advisory work, Bishop is an author of the book "Hidden Cash Uncovered" and is involved in tax preparation and publishing through Flexat Publishing, LLC. Commonwealth Financial Network is a dual-registered broker/dealer and SEC-registered investment adviser serving a nationwide network of approximately 2,900 advisors and hundreds of thousands of clients. The firm provides a broad adviser-support platform including managed-account programs, access to third-party asset managers, and back-office services, allowing advisors to implement portfolios using both internal models and outsourced solutions.

Passive / index investing Active portfolio management Tax-loss harvesting Wealth management Retirement income strategy Founder/Business Owner Executive Retired
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