Maine Securities Corporation
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$24,460,688
Clients
24
Advisors
1
of 1 employees
About
Maine Securities Corporation provides investment advisory and portfolio management services primarily to a small, mostly individual client base, and also offers consulting and basic financial planning. The firm’s business includes broker-dealer activities through its affiliated B/D, and it accommodates a limited number of corporate, municipal, and charitable engagements on a consulting or advisory basis.
The firm manages portfolios with a quantitative value-investing orientation, frequently using fundamental ratios and balance-sheet analysis, and commonly incorporates listed options—principally covered call writing—as an income and hedging strategy. It also manages fixed income and timber-related investments and typically retains comparatively high cash balances to time special situations, running accounts on a discretionary, hands‑on basis with aggregated trade execution through its clearing arrangement.
What distinguishes the firm from many peers is its combined RIA and affiliated broker‑dealer structure that allows advisory clients to trade through the firm at discounted commission rates and exposes the firm to occasional underwriting or syndication roles for private offerings (including timber-related projects). The firm also maintains an affiliated life and health insurance agency and emphasizes a boutique model with a small number of long‑standing clients and periodic consulting work for municipalities and businesses—features less common among similarly sized independent advisers.
Client services
Expertise
Fee options
Negotiated fees for consulting and special projects; financial planning typically no additional fee unless significant work, then negotiated
$0 - $500,000: 1.0% annually $500,001 - $1,000,000: 0.75% annually $1,000,001+: 0.50% annually
Discounted commissions for managed accounts: $20/trade equities, $30/trade bonds and Treasury securities, $25/trade options and mutual funds
Account minimum: $250,000 (typical minimum initial size) Minimum fee: $1,500 to $2,000 minimum annual advisory fee if minimum AUM waived
Main office
15 Monument Square
Portland ME 04101-6425, United States
Offices (1)
Most active in
Maine
Also doing business as
Maine Securities Corporation · Old New England Capital · Old New England Capital, Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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