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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-24
CT RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2026-03-24
  • CT RA
    APPROVED
    Since 2011-01-03

Branch Locations

238 Monroe Turnpike Suite C-1, Monroe, CT 06468 • United States

10 North Main Street Suite 216, West Hartford, CT 06107 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed West Hartford CT 07/2007 Present
Commonwealth Financial Network Waltham MA 01/2010 Present
Innovative Wealth Managers West Hartford CT 02/2020 Present
  • 07/2007 → Present
    Self Employed
    West Hartford, CT
  • 01/2010 → Present
    Waltham, MA
  • 02/2020 → Present
    Innovative Wealth Managers
    West Hartford, CT
Previous Registrations
  • 2010-01-04 → 2010-12-31
    Wrp Investments, Inc.
    Windsor, CT
Other Businesses

1.Fixed insurance sales; as of 10/01/2010; 2% time spent on activity during business hours; conducted at branch; investment related. 2. Owner, Alpine Wealth Management, LLC, A private entity created to facilitate securities and fixed insurance business, as sole member; as of 01/01/2011; 100% time spent during business hours; conducted at branch location; investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-31
S66 Uniform Combined State Law Examination 1998-12-24
  • S65 Uniform Investment Adviser Law Examination
    2009-12-31
  • S66 Uniform Combined State Law Examination
    1998-12-24

View on SEC IAPD

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