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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-29
  • NY RA
    APPROVED
    Since 2021-06-29

Branch Locations

Voorheesville, NY • United States

2 Northway Lane Suite F, Latham, NY 12110 • 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
Linsco/Private Ledger Corp. Latham NY 11/1996 10/2016
Commonwealth Financial Network Waltham MA 10/2016 Present
Previous Registrations
Other Businesses

1. North Country Financial Group, LLC; Operate Securities Business; Investment related; conducted at branch location. 2. North Country Financial Group, LLC; Fixed insurance sales; Investment related; conducted at Branch Location 3. Co-Owner of rental property located in Winhall, VT, as of 12/22/2019; 0% time spent during business hours; Not conducted at branch location; Investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-07-02
  • S63 Uniform Securities Agent State Law Examination
    1996-07-02
Designations

View on SEC IAPD

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