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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
ME RA APPROVED 2012-03-02
  • TX RA
    APPROVED
    Since 2026-03-23
  • ME RA
    APPROVED
    Since 2012-03-02

Branch Locations

31 Chestnut Street, Camden, ME 04843 • United States

94 High Street, Belfast, ME 04915 • United States

339 Main Street, Southwest Harbor, ME 04679 • United States

51 Main Street, Waterville, ME 04901 • 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 03/2012 Present
Allen Financial Group Camden ME 03/2012 Present
Previous Registrations
  • 2010-01-27 → 2012-03-02
    Searsport, ME
    Fort Lauderdale, FL
  • 2008-01-29 → 2009-11-24
    Uvest Financial Services Group, Inc.
    Venice, FL
    Naples, FL
    Sarasota, FL
    Ft. Myers, FL
    Nokomis, FL
    St. James City, FL
    Venice, FL
    Cape Coral, FL
    Charlotte, NC
    Cape Coral, FL
    Cape Coral, FL
    Venice, FL
    Cape Coral, FL
    Cape Coral, FL
    Bradenton, FL
    Cape Coral, FL
  • 2004-09-14 → 2008-01-11
    Uvest Financial Services Group, Inc.
    Ellsworth, ME
    Ellsworth, ME
  • 2002-09-25 → 2004-09-17
    Belfast, ME
Other Businesses

Fixed insurance sales, as of 03/05/2012, Less than 10% of time spent during business hours, conducted at branch location, investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-08-28
S65 Uniform Investment Adviser Law Examination 2001-03-19
  • S63 Uniform Securities Agent State Law Examination
    2001-08-28
  • S65 Uniform Investment Adviser Law Examination
    2001-03-19
Designations

View on SEC IAPD

Other Firms

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