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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-09-14
  • VA RA
    APPROVED
    Since 2018-09-14

Branch Locations

305 Lucy Drive, Harrisonburg, VA 22801 • 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
Lpl Financial Llc Harrisonburg VA 12/2012 09/2018
Stratos Wealth Partners, Ltd Harrisonburg VA 12/2012 09/2018
Commonwealth Financial Network Waltham MA 09/2018 Present
Stern & Heatwole Financial Group, Pc Harrisonburg VA 09/2018 Present
Previous Registrations
  • 2012-12-17 → 2018-09-14
    Harrisonburg, VA
  • 2006-01-01 → 2012-12-17
    Msi Financial Services, Inc.
    Harrisonburg, VA
    Springfield, MA
    Springfield, MA
    Fairfax, VA
  • 2003-06-06 → 2005-12-31
    Metlife Investment Fund Services Llc
    Alpharetta, GA
Other Businesses

1. Co-Owner of rental property located in Broadway, VA, as of06/13/2018; Approximately 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related. 2. Fixed insurance sales; as of 06/14/2018; Approximately 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 3. Owner, Christine Manor Farms, Located at 9890 Harpine Highway, Broadway, VA 22815, as of 06/13/2018; Approximately 1% time spent during securities trading hours per month; Not Conducted at branch location; Not Investment related. 4. Vice President, Stern & Heatwole Financial Group, PC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2024; 100% time spent during business hours; Conducted at branch; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-05
S63 Uniform Securities Agent State Law Examination 2002-04-17
  • S65 Uniform Investment Adviser Law Examination
    2003-06-05
  • S63 Uniform Securities Agent State Law Examination
    2002-04-17
Other Names
  • O. Franklin Showalter

View on SEC IAPD

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