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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-07-06
CT RA APPROVED 2022-04-29
  • MA RA
    APPROVED
    Since 2023-07-06
  • CT RA
    APPROVED
    Since 2022-04-29

Branch Locations

34 Jerome Avenue Suite 210, Bloomfield, CT 06002 • 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
Wells Fargo Advisors Llc Bloomfield CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bloomfield CT 11/2016 04/2022
Commonwealth Financial Network Waltham MA 04/2022 Present
Arq Financial Group, Llc Bloomfield CT 04/2022 Present
Previous Registrations
  • 2009-04-27 → 2022-04-27
    Bloomfield, CT
    Melville, NY
    Hartford, CT
    Bloomfield, CT
    Rocky Hill, CT
    Hartford, CT
  • 2004-10-20 → 2009-04-28
    Banc Of America Investment Services, Inc.
    Warehouse Point, CT
    Enfield, CT
    Vernon, CT
    Windsor, CT
    South Windsor, CT
    Somers, CT
    Rockville, CT
    Windsor, CT
    S. Windsor, CT
  • 2004-05-24 → 2004-10-20
    Quick & Reilly, Inc.
    S. Windsor, CT
Other Businesses

1. Fixed insurance sales; as of 4/20/2022; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, ARQ Financial Group, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 04/20/2022; 100% of time spent during business hours; Conducted at branch; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-28
S63 Uniform Securities Agent State Law Examination 1989-04-20
  • S65 Uniform Investment Adviser Law Examination
    1998-08-28
  • S63 Uniform Securities Agent State Law Examination
    1989-04-20
Designations

View on SEC IAPD

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