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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| NJ | RA | APPROVED | 2020-06-17 |
Branch Locations
420 Centre Street, Nutley, NJ 07110 • United States
1 Boland Drive Suite 102, West Orange, NJ 07452 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Ridgewood | NJ | 04/2009 | 06/2020 |
| Vision Retirement, Llc | Ridgewood | NJ | 01/2018 | 06/2020 |
| Commonwealth Financial Network | Waltham | MA | 06/2020 | Present |
| Ellis Financial Advisory | Nutley | NJ | 06/2020 | Present |
1. Fixed insurance sales; as of 05/19/2020; 5% time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Ellis Financial Advisory, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 05/01/2020; 3% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-10 |
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