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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2017-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 03/2004 | Present |
| Farmers Exchange Bank | Neshkoro | WI | 11/2011 | Present |
1. Fixed Insurance sales, located in Wautoma, WI, as of 2/1/2023, 1% time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-27 |
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