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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
NY RA APPROVED 2021-06-29
  • TX RA
    APPROVED
    Since 2026-03-23
  • NY RA
    APPROVED
    Since 2021-06-29

Branch Locations

139 Genesee Street, New Hartford, NY 13413 • United States

New Hartford, NY • 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
Commonwealth Financial Network Waltham MA 05/2009 Present
Previous Registrations
Other Businesses

1. Fixed insurance sales, as of 200810% of time spent during business hours, conducted at branch, investment related. 2. Coughlin Giambrone, LLC. Principal and co-owner of private entity created as operating company for securities business, as of 09/12/2000, 0% of time spent during business hours, conducted at branch, investment related. 3. Trustee for non-family trust, as of 2011, 0% of time spent during business hours, not conducted at branch, not investment related. 4. SUNYIT, course instructor, as of 01/01/2012, 5% of time spent during business hours, investment related, not conducted at branch. 5. Mohawk Valley Institute for Learning in Retirement, course instructor, as of 02/01/2012, 1% of time spent during business hours, not at branch office, not investment related. 6. Co-owner, Giambrone Coughlin Realty, LLC an entity created for the purpose of buying and owning commercial property located at New Hartford, NY, as of 09/01/2018; approximately less than 5% time spent during securities trading hours per month; conducted at branch location; investment related. 7. E Health; Medicare product referrals; as of 12/01/21; Less than 5% of time spent during business hours; not investment related; conducted at branch.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-21
S63 Uniform Securities Agent State Law Examination 1996-11-15
  • S65 Uniform Investment Adviser Law Examination
    1999-05-21
  • S63 Uniform Securities Agent State Law Examination
    1996-11-15
Designations
Other Names
  • Christopher C Giambrone
  • Chris C Giambrone

View on SEC IAPD

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