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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2003-10-16 |
Branch Locations
3705-C West Market St., Greensboro, NC 27403 • United States
Greensboro, NC • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 10/2003 | Present |
| Austin Financial Management, Inc | Greensboro | NC | 11/2011 | Present |
1) FIXED INSURANE; AS AN AGENT; AT BRANCH OFFICE; INVESTMENT RELATED 2) AUSTIN FINANCIAL MANAGEMENT, INC; PRESIDENT OF ENTITY CREATED TO OPERATE SECURITIES BUSINESS; 100% OWNER AND PRESIDENT; INVESTMENT RELATED; AT BRANCH LOCATION. 3) RENTAL PROPERTY - SOLE OWNER OF CONDOMINIUM IN NORTH MYRTLE BEACH, SC; NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-19 |
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