Stephen D. Poulos

GREAT DIAMOND PARTNERS

Portland, ME 04101

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CRD#: 2200533

Professional summary

Stephen Daniel Poulos, who also goes by Steve Poulos, is a registered financial advisor currently at GREAT DIAMOND PARTNERS, LLC located in Portland, Maine.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Poulos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

2019 Limited Partner - Cadenza - non-investment related, music venue, zero hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Daniel Poulos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 20, 2025 - Present

GREAT DIAMOND PARTNERS, LLC

Office #1: 22 Monument Square Suite 300, Portland, ME 04101

RIA

CRD#: 299598

Portland, ME

Past

October 22, 2010 - May 19, 2025

HEADINVEST

RIA

CRD#: 140518

PORTLAND, ME

Past

October 4, 1995 - November 15, 1995

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

June 9, 1995 - October 16, 1995

H. M. PAYSON & CO.

CRD#: 2993

PORTLAND, ME

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GREAT DIAMOND PARTNERS, LLC

GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA

Registered Investment Advisory firm - (5/9/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(5/27/2025)

IAR

Texas
(5/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/8/1995

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 1/15/1992

Non-Member General Securities Examination

Current Firm

GREAT DIAMOND PARTNERS, LLC

GREAT DIAMOND PARTNERS | PROJECT PORTLAND | GREAT DIAMOND PARTNERS, LLC | GREAT DIAMOND PARTNERS LLC

CRD#: 299598 / SEC#: 801-115058

RIA

Registered Investment Advisory firm - (5/9/2019 Approved)

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Contact information

Main Address

22 Monument Square Suite 300, Portland, ME 04101

Mailing Address

Phone number

(207) 274-2500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT DIAMOND PARTNERS LLC (3/4/2025)

Regulatory assets under management

Total Number of Accounts	1,618
AUM (Assets Under Management)	$ 613,396,493

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen D. Poulos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Daniel Poulos's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEADINVEST

LEGG MASON WOOD WALKER, INCORPORATED

H. M. PAYSON & CO.

Primary Firm SEC Registration

GREAT DIAMOND PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2010

Series 63

Date: 12/6/1991

Series 7

Date: 6/8/1995

Series 2

Date: 1/15/1992

Current Firm

GREAT DIAMOND PARTNERS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT DIAMOND PARTNERS, LLC

TRUST BUT VERIFY

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