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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| CA | RA | APPROVED | 2024-06-18 |
| UT | RA | APPROVED | 2002-09-24 |
Branch Locations
4525 South Wasatch Blvd. Suite 250, Salt Lake City, UT 84124 • United States
Salt Lake City, UT • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 09/2002 | Present |
1. Fixed insurance sales; as of 2002; 1% of time spent during business hours; conducted at branch location, investment related. 2. Waly Investments, Ltd; general partner; family-related entity; as of 01/01/1998; 0% of time spent during business hours; not conducted at branch; investment related. 3. Co-Owner, Sterling Financial Group; rep securities business; as of 09/13/2002; 5% of time spent during business hours; conducted at branch; investment related. 4. Owner, Gil Corporation; S-corp for simple retirement plan; as of 09/13/2002; conducted at branch; non-investment related. 5. Owner, Cram, Inc; c Corp for medical expenses; as of 09/13/2002; conducted at branch; non-investment related. 6. MGP Enterprises; related to Gil Corp, Cram Inc and Waly FLP; as of 09/13/2002; 0% of time spent during business hours; conducted at branch; non-investment related. 7. Part owner of St. Charles Farm House, entity that owns family cabin; as of 01/01/2016; 1% of time spent during business hours; Not investment related and not conducted at branch location. 8. Part owner of Annie's Blue House, entity that owns family cabin; as of 01/01/2016; 1% of time spent during business hours; Not investment related and not conducted at branch location. 9. Co-owner, WP Homes, LLC; an entity created for the purpose of buying real estate in Midway, UT, as of 2/08/2022; 1% of time spent during business hours; Not conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-01 |
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