Thomas Shupe, Jr.
Helping You Build Certainty
so you and your family can sleep well at night.
Invest in Your Dreams Goals Future
The Benefits of Working With Us
Our services are more than just knowledge, expertise, and experience – they come with something truly unique: a commitment to treat you like family. When you work with us, you work with a father-daughter team that combines two different perspectives to bridge the generation gap. But it doesn’t stop there – we also offer unparalleled client service that goes beyond just answering your queries. We’ll stand by you through thick and thin, celebrating your successes and sharing in your struggles.
Getting to know you on a personal level is our top priority, which enables us to create a customized financial strategy that suits your unique needs. Unlike other firms, we don’t consider ourselves financial advisors, but financial caretakers who are always here for you and your loved ones. Trust us to be your guiding hand every step of the way.
With over four decades of collective experience navigating numerous market and economic cycles, we’re here to help you cut through the confusion and clutter of a multitude of investment options.
We understand that every client has unique needs and preferences, which is why our onboarding process is tailored to each individual. We take the time to get to know our clients and establish a strong relationship before moving forward with any account opening. Our priority is to make sure every new client feels comfortable and well taken care of. We aim to be a valuable resource for you throughout the entire process. While our process may vary based on your specific situation, below is a general overview of what you can expect
During our first meeting, our goal is to get to know our clients and their financial goals better. We’ll introduce ourselves, explain the purpose of the meeting, and answer any questions the client may have. During this meeting, we’ll gather critical financial and tax-related information, including the client’s risk tolerance, time horizon, current assets, expenses, and income needs. This information is essential for us to make appropriate decisions and recommendations that fit the client’s unique situation. Ultimately, our aim is to determine if we are a good fit to work together to pursue the client’s financial goals.
Creating Your Financial Roadmap
During our second meeting, we will clarify the information gathered in our first meeting and share insights into our clients’ lives and financial goals. We will discuss potential financial and wealth management plans that could help our clients work toward their goals. Based on their needs and preferences, we will work with them to develop a customized financial plan that aligns with their goals and values.
Ongoing Management and Review
During our third and subsequent meetings, our goal is to implement the financial and wealth management plans agreed upon in the previous meetings. We will monitor the performance of our clients’ investments and review progress towards their goals. We will discuss any necessary adjustments to the financial plan based on changes in their lives or market conditions. These meetings will be ongoing to ensure our clients’ financial plans remain aligned with their goals and priorities over time
Get to Know Us
Thomas Shupe, Jr.
LPL Financial Advisor
I could tell you about my work experience, my tenure in the financial industry or the accolades along the way. Although those things are important to do this job properly, I think it is most important that you get to know who I am as a person.
I come from a large working-class family with five siblings. My father was a small business owner in Buffalo, NY. My mother was always there to care for me and my siblings. She is still the matriarch of our family. Some of my fondest memories are of all of us getting together for the holidays. I am a father of three, two daughters and one son. To this day, my family is my greatest accomplishment.
Being from Buffalo, NY I grew up to be a huge hockey fan. I watched it, played it and had the privilege of coaching youth and high school hockey including my son, Zach’s, teams. My daughters, Ashleigh and Lindsey, although less than two years apart, couldn’t be more different from one another. Ashleigh has always had a love for the arts. She loves to write, sketch and paint. I may be biased, but she is quite talented. Lindsey has found her way into the financial industry. As much as I would like to say I had a part in that, she got into it all on her own. I am also lucky enough to have an amazing wife, Lisa. I wouldn’t be where I am today without her love and support. We will be celebrating our 30th anniversary in October 2024.
I was born in Buffalo, NY but I have spent most of my life in Florida. On February 3rd, 2023, I married a wonderful man and my best friend, David. Although both of us have lived in Florida most of our lives, we couldn’t be more excited to get out of the heat. We relocated to Waterville, ME shortly after the wedding.
We love hiking and being outside. Maine seemed like a no brainer. I remember crossing the state border and reading the welcome sign “the way life should be”, I couldn’t agree more. I know we have a lot to learn when it comes to winter, so feel free to pass along any tips and tricks, we will need them.
As for the financial industry, I have been working with LPL Financial for over five years and was recently brought on to help my father better serve our clients. I look forward to getting to know all of you. Please don’t hesitate to reach out.
LPL Financial Advisor
Do Our Values Align?
Our Ideal Client
We believe that building strong relationships with our clients is the foundation of effective financial planning. Our ideal clients value family, health, financial security and are looking for guidance on how to pursue those goals.
Living a healthy, balanced life is essential to planning for long-term financial security. That’s why we seek out clients who share this perspective and prioritize taking care of themselves and their loved ones. For us, family is a top priority, and we strive to work with clients who share this same value.
We understand that everyone’s situation is unique, and that’s why we take a personalized approach to financial planning. We’ll work with you to understand your goals, needs, and risk tolerance, and develop a customized plan that fits your specific circumstances.
Ultimately, our goal is to be a trusted partner who can help you navigate the complex world of finance and make informed decisions about your money. Whether you’re just starting out in your career or you’re planning for retirement, we’re here to provide the support and guidance you and your family needs to pursue your financial goals.
If you’re ready to take control of your financial future and start building a better life for yourself and your family, we’d love to hear from you. Book a meeting with us to discuss your goals and how we can help.
Insights & Market Commentary
What is an independent financial advisor and what do they do?
A financial advisor is a professional who helps clients manage their finances, investments, and wealth. They offer personalized advice and guidance based on their clients' financial goals and needs. Financial advisors can provide services such as retirement planning, investment advice, tax planning strategies, estate planning strategies, and more.
Why should I hire a financial advisor?
Hiring a financial advisor can be beneficial for those who need help managing their finances, planning for the future, or making investment decisions. Financial advisors can provide professional advice and guidance to help clients pursue their financial goals and make informed financial decisions.
How can I determine whether my advisor is a qualified professional?
When looking for a financial advisor, using BrokerCheck can provide valuable information about the advisor's background, including their employment history, registration status, and any disciplinary actions or customer complaints. By using BrokerCheck, investors can make informed decisions about which financial advisor to work with and avoid potential fraud or misconduct.
What services do financial advisors typically offer?
Financial advisors can offer a wide range of services, including retirement planning, investment advice, tax planning strategies, estate planning strategies, risk management, and more. The specific services offered may vary depending on the advisor's experience and qualifications.
What is your approach to helping clients navigate market volatility?
As an independent financial advisor, we believe in developing a diversified investment portfolio that aligns with clients' long-term financial goals and risk tolerance. We review and rebalance portfolios regularly and provide education to help clients understand their investment strategy. During times of market volatility, we stay in close communication with our clients to provide guidance and support. By taking a strategic, long-term approach, we help our clients pursue their financial goals despite market fluctuations.
*There is no guarantee that a diversified portfolio will enhance overall returns or outperform a non-diversified portfolio. Diversification does not protect against market risk
How much do you charge and how are you compensated?
As a fiduciary we are compensated on an annual fee basis. Where appropriate, we may also act as a broker and charge a commission. This is customized based on the unique relationship we have with you, as our client.
What should I bring to the first meeting?
In order to be as thorough as possible, we ask that you bring all bank and investment account statements, life insurance statements as well as your most recent tax return if available.
Where are you located?
Our office is located at 46 First Park Dr., Suite B, Oakland, ME 04963. In between Augusta and Waterville, right off I95 exit 127.
How often do we meet?
As often as you would like. We can meet in person, on video, or over the phone. At the very least, we will review plans once or twice per year.
If I don’t live in Maine, can you still help me?
Yes! We are licensed in the following states: AZ, CA, CO, CT, FL, GA, HI, IN, MA, MD, ME, MT, NC, NH, NJ, NM, NV, NY, OH, PA, TX, VA, WI, WV. We have also traveled to see clients in their home state.
Frequently Asked Questions
We understand that managing your finances can be a daunting task, and that’s why we’re here to help. As experienced professionals in the financial industry, we are committed to providing our clients with personalized advice and guidance to help them work toward their financial goals. In this section, we’ve compiled a list of frequently asked questions to help you understand what a financial advisor is, how we can help you, and what to expect when working with us. We hope this resource will provide you with valuable information and help you make informed decisions about your financial future.
Invest in Your Future Today
Looking for Family-Oriented Independent Financial Advisors?
As independent financial advisors, we specialize in providing personalized investment strategies for families. We work with you to develop a customized plan that aligns with your long-term financial goals and risk tolerance. With our expert financial guidance, regular portfolio reviews, and education, you can make informed financial decisions.
We understand that your family’s financial stability is crucial, which is why we are dedicated to helping you succeed. Our team approach ensures that you receive personalized attention and diverse perspectives from our two advisors. Don’t let market volatility jeopardize your family’s financial future. Contact us today to learn more about our services and how we can help you plan for your family’s financial well-being.