Kacey Nelson Smith

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2007-09-19
MA	RA	APPROVED	2007-09-17

NH RA
APPROVED

Since 2007-09-19
MA RA
APPROVED

Since 2007-09-17

Branch Locations

74 Bedford Street, Lexington, MA 02420 • United States

Londonderry, NH • United States

Disclosures

1 disclosure category 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.

Regulatory action No
Criminal Yes
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	11/1999	Present

11/1999 → Present

Commonwealth Financial Network

Waltham, MA

Other Businesses

FIXED INSURANCE SALES.,DBA: LEXINGTON FINANCIAL GROUP; INVESTMENT RELATED; AT BRANCH LOCATION.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-08-07
S63	Uniform Securities Agent State Law Examination	1999-12-13

S65 Uniform Investment Adviser Law Examination

2007-08-07
S63 Uniform Securities Agent State Law Examination

1999-12-13

View on SEC IAPD

Current Employers

Commonwealth Financial Network

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews