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DM

David P. Maine

STANCORP EQUITIES
Portland, OR 97204
Some features on this profile are disabled
CRD#: 4741993
DM

Professional summary

David Patterson Maine, who also goes by David Patterson Maine Mr., David Maine, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Patterson Maine Mr. | David Maine

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Patterson Maine'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

January 3, 2023 - Present

STANCORP EQUITIES, INC.

Office #1: 1100 Sw 6th Avenue, Portland, OR 97204
BD
CRD#: 19517
Portland, OR
Past

February 14, 2020 - December 31, 2022

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

March 3, 2016 - May 3, 2018

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

April 7, 2011 - July 2, 2015

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHICAGO, IL
Past

August 2, 2010 - February 11, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

May 17, 2010 - February 11, 2011

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

February 2, 2004 - May 28, 2009

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(1/3/2023)
RR
Wisconsin
(1/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/30/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
STANCORP EQUITIES, INC.
STANCORP EQUITIES, INC. | STANWEST EQUITIES, INC. | STANDARD EQUITIES, INC.

CRD#: 19517 / SEC#: , 8-37563

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1100 Sw Sixth Avenue, Portland, OR 97204-1093
Mailing Address
900 Sw 5th Avenue, C22, Portland, OR 97204-1093
Phone number
(971) 321-8830
Established
Oregon since 10/02/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STANCORP FINANCIAL GROUP, INC.OWNER OF STANCORP EQUITIES, INC.
BURLIE, JASON MATTHEWPRESIDENT4072452
HUANG, JAMES PEI-YUENSECRETARY4020305
LIM, CHARLESCHIEF COMPLIANCE OFFICER5039063
MARTIN, SHANNON MICHELLE2ND VICE PRESIDENT AND ASSISTANT CONTROLLER7616238
PAGLIARULO, DAVID CTREASURER, FINOP6883045

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.

Company Information

STANCORP EQUITIES, INC.

CRD#: 19517Portland, OR 97204

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