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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2006-02-21 |
Branch Locations
1 Van De Graaff Drive Suite 500, Burlington, MA 01803 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 02/2006 | Present |
| Axial Financial Group | Burlington | MA | 02/2006 | Present |
1. Fixed insurance sales; as an agent under the dba name axial financial group aka the axial company; conducted from branch location; investment related. 2. Owner of rental property located in Medford, MA, as of 12/11/2018; Approximately less than 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related. 3. Trustee for a trust; not conducted from branch location; non-investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-08 |
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