Financial advisor
Tom Shupe
Now at Raymond James Financial Services · Dirigo Wealth Management · Oakland, ME
Registered as Thomas Edward Shupe
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Dirigo Wealth Management | LPL Financial | Raymond James Financial Services | Lateral | October 6, 2026 | $170M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Investment adviser | August 17, 2026 | Current |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | Broker-dealer | August 17, 2026 | Current |
| LPL FINANCIAL LLC | Broker-dealer | March 20, 2020 | August 20, 2026 |
| LPL FINANCIAL LLC | Investment adviser | March 20, 2020 | August 21, 2026 |
| AXA ADVISORS, LLC | Broker-dealer | September 16, 2019 | March 12, 2020 |
| AXA ADVISORS, LLC | Investment adviser | September 13, 2019 | March 12, 2020 |
| EDWARD JONES | Investment adviser | May 8, 2018 | June 19, 2018 |
| EDWARD JONES | Broker-dealer | April 16, 2018 | June 19, 2018 |
| FRANKLIN/TEMPLETON DISTRIBUTORS, INC. | Broker-dealer | December 20, 2005 | September 18, 2017 |
| AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC | Investment adviser | September 23, 2005 | November 30, 2005 |
| AMSOUTH INVESTMENT SERVICES, INC. | Broker-dealer | May 19, 2005 | November 29, 2005 |
| STEPHENS INC. | Broker-dealer | May 19, 2004 | March 1, 2005 |
| FRANKLIN/TEMPLETON DISTRIBUTORS, INC. | Broker-dealer | May 26, 1998 | May 14, 2004 |
| PRUCO SECURITIES CORPORATION | Broker-dealer | September 22, 1993 | February 3, 1994 |
| DEAN WITTER REYNOLDS INC. | Broker-dealer | December 21, 1992 | July 16, 1993 |
| PRUCO SECURITIES CORPORATION | Broker-dealer | December 9, 1988 | September 11, 1992 |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Broker-dealer | December 9, 1988 | September 11, 1992 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.