Mark A. Maitland

ROTHWELL INVESTMENT ADVISORS

SALEM, MA 01970

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CRD#: 6823428

Professional summary

Mark Andrew Maitland is a registered financial advisor currently at ROTHWELL INVESTMENT ADVISORS located in Salem, Massachusetts and LPL FINANCIAL LLC located in Salem, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Mark has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. 04/01/2016 - METTAFORE/ NON-PROFIT BOARD MEMBER/ NOT INVESTMENT RELATED/ 2%/ SALEM, MA. 2. 8/13/2020 - Maitland Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/01/2020 - 160 Hours Per Month/130 Hours During Securities Trading. 3. 8/14/2020 - Pinnacle - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date: 08/17/2020 - 5 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew 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

November 13, 2019 - Present

LPL FINANCIAL LLC

Office #1: 11a Derby Square, Salem, MA 01970

RIA

CRD#: 6413

Salem, MA

Past

August 3, 2020 - October 24, 2025

FLAGSHIP HARBOR ADVISORS, LLC

RIA

CRD#: 155733

SALEM, MA

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.

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

Alabama
(3/6/2025)

Arizona
(3/6/2025)

California
(11/24/2020)

Colorado
(3/6/2025)

Florida
(3/15/2021)

Maine
(3/6/2025)

Massachusetts
(2/3/2020)

New Hampshire
(5/18/2023)

New Mexico
(3/6/2025)

New York
(3/6/2025)

North Carolina
(3/6/2025)

Rhode Island
(5/18/2023)

Texas
(2/3/2025)

IAR

Texas
(7/29/2025)

Vermont
(3/6/2025)

Virginia
(4/29/2021)

Washington
(3/6/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/3/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/13/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/29/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

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 120-Day Approval)

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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

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

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

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Mark A. Maitland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Maitland's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTHWELL INVESTMENT ADVISORS

LPL FINANCIAL LLC

FLAGSHIP HARBOR ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2020

Series 7TO

Date: 11/13/2019

SIE

Date: 7/29/2019

FINRA

Current Firm

ROTHWELL INVESTMENT ADVISORS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ROTHWELL INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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