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BM

Barbara J. Maitland

ROTHWELL INVESTMENT ADVISORS
SALEM, MA 01970
Some features on this profile are disabled
CRD#: 5452564
BM

Professional summary

Barbara Jean Maitland, who also goes by Barbara Maitland, Barbara Jean Trifiro, is a registered financial advisor currently at ROTHWELL INVESTMENT ADVISORS located in Salem, Massachusetts and LPL FINANCIAL LLC located in Salem, Massachusetts.

Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Barbara has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Barbara Maitland | Barbara Jean Trifiro

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) - RIA

Click below to view Barbara Jean Maitland'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

July 29, 2025 - Present

ROTHWELL INVESTMENT ADVISORS

Office #1: 11a Derby Square, Salem, MA 01970
RIA
CRD#: 337504
SALEM, MA
Current

September 17, 2012 - Present

LPL FINANCIAL LLC

Office #1: 11a Derby Square, Salem, MA 01970
RIA
BD
CRD#: 6413
Salem, MA
Past

October 1, 2012 - October 24, 2025

FLAGSHIP HARBOR ADVISORS, LLC

RIA
CRD#: 155733
SALEM, MA
Past

April 8, 2008 - September 19, 2012

EDWARD JONES

RIA
CRD#: 250
SWAMPSCOTT, MA
Past

January 8, 2008 - September 19, 2012

EDWARD JONES

BD
CRD#: 250
SWAMPSCOTT, MA

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".
RI
ROTHWELL INVESTMENT ADVISORS
MAITLAND FINANCIAL GROUP | ROTHWELL INVESTMENT ADVISORS LLC | ROTHWELL INVESTMENT ADVISORS

CRD#: 337504 / SEC#: 801-133979

RIA
Registered Investment Advisory firm - (7/29/2025 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.
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
Alabama
(1/14/2023)
RR
Arizona
(9/17/2012)
RR
California
(10/30/2012)
RR
Colorado
(9/17/2012)
RR
Connecticut
(9/17/2012)
RR
District of Columbia
(9/3/2014)
RR
Florida
(9/17/2012)
RR
Hawaii
(7/15/2016)
RR
Illinois
(3/6/2025)
RR
Indiana
(5/1/2020)
RR
Kansas
(8/14/2018)
RR
Kentucky
(7/19/2018)
RR
Louisiana
(10/7/2016)
RR
Maine
(3/6/2025)
RR
Massachusetts
(9/17/2012)
IAR
Massachusetts
(9/2/2025)
RR
Minnesota
(1/3/2022)
RR
Missouri
(10/31/2013)
RR
Nebraska
(5/15/2020)
RR
Nevada
(1/21/2022)
RR
New Hampshire
(9/17/2012)
RR
New Jersey
(9/17/2012)
RR
New Mexico
(9/17/2012)
RR
New York
(9/17/2012)
RR
North Carolina
(6/1/2020)
RR
Ohio
(2/7/2014)
RR
Oregon
(7/30/2019)
RR
Pennsylvania
(1/11/2016)
RR
Puerto Rico
(9/17/2012)
RR
Rhode Island
(4/24/2013)
RR
South Carolina
(10/26/2015)
RR
Texas
(8/14/2018)
IAR
Texas
(7/29/2025)
RR
Vermont
(7/1/2014)
RR
Virginia
(3/19/2014)
RR
Washington
(6/27/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RI
ROTHWELL INVESTMENT ADVISORS
MAITLAND FINANCIAL GROUP | ROTHWELL INVESTMENT ADVISORS LLC | ROTHWELL INVESTMENT ADVISORS

CRD#: 337504 / SEC#: 801-133979

RIA
Registered Investment Advisory firm - (7/29/2025 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11a Derby Square, Salem, MA 01970
Mailing Address
Phone number
(978) 387-9997
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (12 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RIA - WRAP FEE PROGRAM BROCHURE (6/26/2025)

Regulatory assets under management

Total Number of Accounts1,337
AUM (Assets Under Management)$ 188,696,420

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

ROTHWELL INVESTMENT ADVISORS

CRD#: 337504Salem, MA 01970

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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