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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 |
| FL | RA | APPROVED | 2023-02-09 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Sarasota | FL | 03/2012 | 10/2017 |
| Mid Atlantic Financial Management, Inc. | Pittsburgh | PA | 10/2017 | 02/2023 |
| Newedge Advisors, Llc | New Orleans | LA | 11/2021 | 02/2023 |
| Quest Financial Group | Punta Gorda | FL | 02/2023 | Present |
| Commonwealth Financial Network | Waltham | MA | 02/2023 | Present |
Fixed insurance sales; Located in Sarasota, FL, as of 11/7/2022; 1% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-12 |
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