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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-25 |
| MA | RA | APPROVED | 2013-01-08 |
Branch Locations
540 Main Street Suite 16A, Hyannis, MA 02601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Swift Financail Services, Inc | Hyannis | MA | 04/2005 | Present |
| Commonwealth Financial Network | Waltham | MA | 12/2010 | Present |
| Axial Financial Group | Hyannis | MA | 01/2012 | Present |
1. Tax Preparation; Not invested related; Not conducted at branch location. 2. Fixed insurance sales under Axial Financial Group, approximately 5% time spent during business hours; As of 04/02/2016; Investment related, Conducted at branch location.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-06 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
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