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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-24 |
| RI | RA | APPROVED | 2018-07-31 |
| MA | RA | APPROVED | 2018-07-30 |
Branch Locations
91 Tollgate Road Suite 400, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westport | CT | 01/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Westport | CT | 11/2016 | 07/2018 |
| Commonwealth Financial Network | Waltham | MA | 07/2018 | Present |
1. Fixed insurance sales; as of 07/26/2018; Approximately 2% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Co-Owner & Senior Vice President, Toll Gate Capital Advisors, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 11/01/2021; 85% of time spent during business hours; Conducted at branch; Investment related. 3. Co-Owner, RAMZ Associates, LLC, an entity created for the purpose of managing commercial real estate in Warwick, RI, as of 06/01/2021; 2% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-16 |
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