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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2004-01-16 |
Branch Locations
1127 Floral Parkway Suite 100, Wilmington, NC 28403 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 01/2004 | Present |
1. Co-owner, Rexroad Retirement, LLC, a private entity est. to facilitate securities, advisory, and insurance business; As of 12/16/19; Greater than 95% time spent during regular business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as of 2003, 5% of time spent during business hours, Conducted at branch; Investment related. 3. Member and Co-Owner, PLR, LLC, a private entity est. to own and manage commercial office property located in Wilmington, NC; 0% of time spent during regular business hours; Conducted at branch; Investment related. 4. Trustee for non-family non-client individual; as of 01/22/2018, Less than 1% of time spent during business hours, Not conducted at branch; Not investment related. 5. Owner, Rexroad Real Estate, LLC; an entity created for the purpose of managing real estate in Carolina Beach NC, and Wilmington NC; as of 5/20/2024; 0% time spent during business hours; Not conducted at branch; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 1989-08-31 |
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