Doug Dulac: Maine Street Advisor Lands Suitability Complaint

Carmel, Maine financial advisor Doug Dulac (CRD# 1411702) has received multiple investor complaints alleging that his conduct resulted in damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with United Planners’ Financial Services of America, doing business as Maine Street Insurance and Financial Services.

Mr. Dulac’s BrokerCheck report discloses three investor complaints. The most recent, filed in October 2025, alleged that as a representative of United Planners’ Financial Services of America, he recommended an unsuitable alternative investment. In December 2025 the complaint reached a settlement of $25,000.

A second investor complaint, filed in September 2024, alleged that as a representative of United Planners, he breached his fiduciary duty, recommended an unsuitable alternative investment, and breached contract. In October 2025 the complaint reached a settlement of $30,000.

A third investor complaint, filed in 2022, similarly alleged that as a United Planners representative, he made unsuitable recommendations, committed fraud, breached contract, acted negligently, violated FINRA rules, made misrepresentations and omissions of material facts, and breached his fiduciary duty. In 2023 the complaint reached a settlement of $35,000.

According to the Financial Industry Regulatory Authority, Doug Dulac holds 40 years of securities industry experience. Based in Carmel, Maine, he has been registered as a broker and an investment advisor with United Planners’ Financial Services of America since 2008, doing business as Maine Street Insurance and Financial Services. His past registrations include United Securities Alliance, Royal Alliance Associates, New England Securities, and Pruco Securities. His credentials include the passage of seven securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Principal Examination, or Series 24; and the Investment Company Products/Variable Contracts Principal Examination, or Series 26. He holds 19 state licenses. (Information current as of January 11, 2026.)

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