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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-07-06 |
| CT | RA | APPROVED | 2022-04-29 |
Branch Locations
34 Jerome Avenue Suite 210, Bloomfield, CT 06002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-20 |
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