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Lu Ellen Ann Guenther-Smith

Commonwealth Financial Network

Sturbridge, MA

CRD 1996397

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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2020-02-11
  • MA RA
    APPROVED
    Since 2020-02-11

Branch Locations

Sturbridge, MA • 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
Commonwealth Financial Network Waltham MA 01/1995 Present
Other Businesses

Fixed Insurance Sales, as an Agent; Conducted at branch location; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-31
S63 Uniform Securities Agent State Law Examination 1990-03-02
  • S66 Uniform Combined State Law Examination
    2020-01-31
  • S63 Uniform Securities Agent State Law Examination
    1990-03-02
Designations
  • Chartered Financial Consultant
Other Names
  • Luellen Ann Guenther
  • Luellen A Guenther
  • Lu Ellen Ann Guenthersmith

View on SEC IAPD

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