# Maine Securities Corporation

> Maine Securities Corporation is a state-registered investment advisory firm in Portland,, ME, registered since 1997, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 11, 2025.

- CRD: 16976
- Filed as: MAINE SECURITIES CORPORATION
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Portland,, ME
- Filing period: October 2026
- Form ADV filing dated: June 11, 2025
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/16976
- AdvisorCensus page: https://advisorcensus.com/firm/maine-securities-corporation-portland-me-16976

## Quick answers

**How is Maine Securities Corporation compensated?**
On its Form ADV (Item 5.E, October 2026), Maine Securities Corporation reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); commissions.

**Where is Maine Securities Corporation located?**
Maine Securities Corporation's principal office is in Portland,, ME, according to its Form ADV.

**Is Maine Securities Corporation registered with the SEC or a state?**
Maine Securities Corporation is a state-registered investment advisory firm, registered since 1997. Status as filed: APPROVED. CRD 16976.

**How much does Maine Securities Corporation manage?**
Maine Securities Corporation reports $25,656,772 in regulatory assets under management in its Form ADV filing dated June 11, 2025 (100% discretionary).

**What types of clients does Maine Securities Corporation serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (20); high net worth individuals (4); corporations or other businesses not listed above (2).

**Does Maine Securities Corporation report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years) and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/16976

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions

### Regulatory assets under management (Item 5.F)
- Total: $25,656,772
- Discretionary: $25,656,772
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 20 | $11,306,361 |
| High net worth individuals | 4 | $13,154,327 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | Fewer than 5 | $581,238 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 2 | $614,846 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Market timing services
- Educational seminars/workshops

### Firm details
- Registered since: 1997 (29 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: ME
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/16976

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Maine Securities Corporation (CRD 16976): Form ADV filing data as of October 2026.