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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| ME | RA | APPROVED | 2018-09-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portland | ME | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Portland | ME | 11/2016 | 09/2018 |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
| Back Cove Financial | Falmouth | ME | 09/2018 | Present |
1. Fixed Insurance Sales, as an Agent; As of 06/05/2018; Approximately 5% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner, Halpin Wealth Management Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 01/01/2019; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Co-Owner, Back Cove Financial, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 05/11/2021; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-16 |
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