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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2003-02-11
  • AZ RA
    APPROVED
    Since 2003-02-11

Branch Locations

14362 N. Frank Lloyd Wright Blvd Suite 1000, Scottsdale, AZ 85260 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network Waltham MA 12/2002 Present
Other Businesses

1. Tax Preparation, located in Glendale, AZ, as of 02/01/2009, 15% of time spent during business hours, not at the branch location, not investment-related. 2. Expert Witness, Fair Share Divorce, located in Phoenix, AZ, as of 03/1999, 1% of time spent during business hours, not at the branch location, not investment-related. 3. Divorce Planner, Fair Share Divorce, located Glendale, AZ, as of 2004, Less than 1% of time spent during business hours, not at the branch location, not investment-related. 4. Fixed insurance sales, as of 01/29/2003, 2% of time spent during business hours, at the branch location, investment-related. 5. Owner, NW Finance, LLC, a private entity used to purchase automobile titles; located at 65 Ross Lane, Eugene, OR 97404, as of 11/01/2012, 1% of time spent during business hours, not at the branch location, not investment-related. 6. Owner, NW Finance LLC, an entity created for the purpose of buying and managing residential real estate at 425 River Ave, Eugene, OR 97404, as of 09/30/2024; 0% of time spent during business hours; Not Conducted at branch; Investment related. 7. Owner, Pinnacle Financial Strategies, LLC; purchasing cars for resale; Located in Glendale, AZ; as of 06/16/2025; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-03-04
  • S63 Uniform Securities Agent State Law Examination
    1997-03-04
Designations

View on SEC IAPD

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