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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2010-02-01
  • CT RA
    APPROVED
    Since 2010-02-01

Branch Locations

180 Glastonbury Boulevard Suite 200, Glastonbury, CT 06033 • United States

Woodbridge, CT • 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
Commonwealth Financial Network Waltham MA 02/2010 Present
Connecticut Investors Group, Llc Glastonbury CT 01/2011 Present
Previous Registrations
  • 2008-01-01 → 2010-02-02
    New Haven, CT
    Southport, CT
  • 2002-05-23 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Hamden, CT
    Hamden, CT
    St. Louis, MO
Other Businesses

Fixed insurance sales; as of 04/26/2011; 10% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-20
  • S66 Uniform Combined State Law Examination
    2002-05-20

View on SEC IAPD

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