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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 | 2026-05-26 |
| ID | RA | APPROVED | 2025-09-30 |
| UT | RA | APPROVED | 2002-09-24 |
Branch Locations
St. Charles, ID • United States
4525 South Wasatch Blvd. Suite 250, Salt Lake City, UT 84124 • United States
Salt Lake City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 09/2002 | Present |
1. Selling fixed life insurance and annuities, as of 2002, conducted at branch, investment related. 2. PNF Financial and Capital, Inc.; sole owner; holding company for securities business; as of 2006, 100% of time spent during business hours, conducted at branch, investment related. 3. JP Kids, LLC; general partner; as of 1997, 0% of time spent during business hours, not conducted at branch, investment related. 4. Sterling Financial Group; securities business; as of 09/02/2002, 99% of time spent during business hours, conducted at branch, investment related. 5. Steak & Carrot Sauce Ranch, LLC; real estate holding company; as of 10/01/1996, 0% of time spent during business hours, not conducted at branch, not investment related. 6. Co-owner, RSJ&M, LLC; entity created to share ownership of a boat; as of 05/17/2019; 0% time spent during business hours; located at Salt Lake City, UT; not conducted from branch, not investment related. 7. Co-owner, 4 Wingmen, LLC, for the purpose of owning an airplane; Located at 8125 South 1060 East, Sandy, UT; as of 12/06/2022; 3% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1988-12-14 |
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