LicenseCompass

Investment Advisor License in Maine

Quick Answer

To obtain a Investment Advisor in Maine, review the requirements from Maine Department of Professional & Financial Regulation~Office of Professional and Occupational Regulation.

Background Check
Required

Requirements

Investment Advisor license in Maine

bronze
Education
No educational requirements
Exam
State exam required
Background Check
No criminal record prohibitions
Continuing Education
No continuing education requirement to maintain license
Veterans Benefits
N/A - Not displayed

Licensing Agency

Maine Department of Professional & Financial Regulation~Office of Professional and Occupational Regulation

Website 2076248603 Email

How to Get Licensed

Step-by-step roadmap to becoming a licensed Investment Advisor in Maine.

  1. 1

    Complete Education Requirements

    No educational requirements

  2. 2

    Submit Background Check

    No criminal record prohibitions

  3. 3

    Pass the Required Exam

    State exam required

  4. 4

    Submit Your Application

    File your application with the licensing agency.

  5. 5

    Receive Your License

    Processing times vary. Check with your state licensing board for current timelines.

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Data from CareerOneStop (DOLETA/DEED). Last updated: February 14, 2026.

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