William D. Pike

MAINE INVESTMENT AND PLANNING SERVICES

FALMOUTH, ME 04105

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CRD#: 2691598

Professional summary

William David Pike, who also goes by Bill Pike, William Pike, is a registered financial advisor currently at MAINE INVESTMENT AND PLANNING SERVICES, LLC located in Falmouth, Maine.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Pike | William Pike

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.

1) NEW ENGLAND FINANCIAL SERVICES, LLC; INVESTMENT RELATED; 190 US 1, #238, FALMOUTH, ME 04105; INSURANCE PRODUCER ACTIVITIES; OWNER AND INSURANCE PRODUCER; 06/2010; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; INSURANCE PRODUCTION ACTIVITIES. 2) PIKE FINANCIAL GROUP, LLC; NON-INVESTMENT RELATED; 289 MIDDLE ROAD, FALMOUTH, ME 04105; LEGAL ENTITY CREATED TO RECEIVE COMMISSIONS; OWNER AND PRESIDENT; 06/2010; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; MANAGE THE COMPANY'S BUSINESS AFFAIRS. 3) LANDING REAL ESTATE; 780 BROADWAY, SOUTH PORTLAND, ME 04106; REAL ESTATE LISTING AND SALES BROKERAGE; ASSOCIATE BROKER; 04/2009; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; REAL ESTATE BROKER. 4) WILLIAM D. PIKE; NON-INVESTMENT RELATED; 289 MIDDLE ROAD, FALMOUTH, ME 04105; INVESTMENT PROPERTY MANAGEMENT; LANDLORD; 08/2016; APPROX. 10 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; LANDLORD FOR RENTAL PROPERTIES IN MAINE AND FLORIDA. 5) CARROLL HARPER & ASSOCIATES INC.; INVESTMENT RELATED; 396 MAIN STREET, PO BOX 1420, SOUTHWEST HARBOR, ME 04679; INSURANCE PRODUCER ACTIVITIES; INDEPENDENT INSURANCE PRODUCER; 03/2022; APPROX. 10 HOURS PER MONTH DURING TRADING OR NON-TRADING HOURS; INSURANCE PRODUCTION ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Pike's 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 16, 2023 - Present

MAINE INVESTMENT AND PLANNING SERVICES, LLC

Office #1: 4 Fundy Road Suite 202/204, Falmouth, ME 04105

RIA

CRD#: 318440

FALMOUTH, ME

Past

January 13, 2022 - March 20, 2024

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

Falmouth, ME

Past

December 4, 2018 - December 31, 2021

IAMS WEALTH MANAGEMENT, LLC

RIA

CRD#: 286085

Falmouth, ME

Past

May 31, 2018 - December 12, 2018

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Falmouth, ME

Past

January 9, 2015 - December 12, 2018

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Falmouth, ME

Past

May 4, 2009 - January 28, 2013

NATIONWIDE SECURITIES, LLC

CRD#: 11173

FALMOUTH, ME

Past

February 16, 2006 - July 10, 2007

LPL FINANCIAL LLC

CRD#: 6413

KENNEBUNK, ME

Past

June 28, 2001 - September 27, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

September 25, 2000 - July 17, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

March 16, 2000 - September 25, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

March 19, 1996 - April 12, 2000

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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
(5/16/2023)

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: 5/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MAINE INVESTMENT AND PLANNING SERVICES, LLC

LUXOLO ADVISORS | MAINE INVESTMENT AND PLANNING SERVICES, LLC | LUXOLO ADVISORS, LLC | LUXOLO ADVISORS LLC

CRD#: 318440 / SEC#:

Maine

Registered Investment Advisory firm - (5/16/2023 Approved)

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Contact information

Main Address

4 Fundy Road Suite 202/204, Falmouth, ME 04105

Mailing Address

190 Us Rt. 1 #238, Falmouth, ME 04105

Phone number

(207) 632-2020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 1,854,395

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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Firm Stability Insights

William D. Pike

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William David Pike's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

IAMS WEALTH MANAGEMENT, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NATIONWIDE SECURITIES, LLC

LPL FINANCIAL LLC

AMERITAS INVESTMENT COMPANY, LLC

QUICK & REILLY, INC.

FIS SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2018

Series 63

Date: 6/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2000

Series 6

Date: 3/18/1996

Current Firm

MAINE INVESTMENT AND PLANNING SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAINE INVESTMENT AND PLANNING SERVICES, LLC

TRUST BUT VERIFY

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