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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2003-01-07 |
Branch Locations
1717 Congress Street Suite 1, Portland, ME 04074 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | S. Portland | ME | 01/1999 | Present |
| Ocean Financial Group | Westbrook | ME | 01/2000 | Present |
1. FIXED INSURANCE SALES UNDER THE DBA NAME OCEAN FINANCIAL GROUP, AT BRANCH LOCATION, INVESTMENT RELATED. 2. OCEAN FINANCIAL GROUP- PRESIDENT AND 100% OWNER OF PRIVATE ENTITY CREATED FOR OPERATING SECURITIES BUSINESS; INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-29 |
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