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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-10-15 |
| NE | RA | APPROVED | 2011-08-02 |
Branch Locations
3204 West Benjamin Ave Suite 200, Norfolk, NE 68701 • United States
212 Percilla Road, Grapeland, TX 75844 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financail Network | Waltham | MA | 08/2011 | Present |
| Calmwater Financial Group | Norfolk | NE | 11/2011 | Present |
1. Fixed Insurance Sales under name Calmwater Financial Group, Conducted At Branch, Investment Related. 2. Calmwater Financial Network, LLC Member and 15% Owner of a Private Entity Created as operating company for Corporate Education, Securities, And Financial Planning Business, Conducted At Branch, Investment Related. 3. Co-owner, CalmWater Financial Group LLC, a private entity created as operating company for securities and investment advisory business; as of 11/03/2011; 1% of time spent during business hours; Conducted at branch, Investment related 4. Calmwater Holding Company, LLC, 20% Owner, Of Real Estate Holding Company For Constructing New Branch Office Building, Conducted At Branch, Investment Related. 5. Owner & President, RBA Financial, Inc. A Private Entity Established to Facilitate Advisory Business; As Of 7/01/2021; 10% Time Spent During Business Hours; Conducted At Branch; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-29 |
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