Richard Ejnar Hertzberg

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2002-09-13

MA RA
APPROVED

Since 2002-09-13

Branch Locations

844 Franklin Street Unit Six, Wrentham, MA 02093 • 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

Organization	City	State	From	To
Commonwealth Financial Network	Waltham	MA	05/2001	Present

05/2001 → Present

Commonwealth Financial Network

Waltham, MA

Other Businesses

1. AMES FINANCIAL SERVICES, LLC - MANAGING MEMBER AND SOLE OWNER OF ENTITY CREATED FOR SECURITIES AND INSURANCE BUSINESS, INVESTMENT RELATED. 2.FIXED INSURANCE SALES AT BRANCH LOCATION, INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-05
S63	Uniform Securities Agent State Law Examination	1999-03-19

S65 Uniform Investment Adviser Law Examination

2001-01-05
S63 Uniform Securities Agent State Law Examination

1999-03-19

Other Names

Richard E Hertzberg
Richard Hertzberg

View on SEC IAPD

Current Employers

Commonwealth Financial Network

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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