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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-10 |
| NY | RA | APPROVED | 2021-06-29 |
Branch Locations
1171 Delaware Avenue, Buffalo, NY 14209 • United States
Malabar, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 03/2002 | Present |
1) 1171 Delaware Avenue, a limited partnership which owns and manages office building located at 1171 Delaware Ave, Buffalo, NY 14209, part-owner and passive limited partner, not conducted at branch, not investment related. 2) Fixed insurance sales; as of 11/25/2016; Investment related and conducted from branch location. 3) Director of RLB 1050, Inc., family partnership created to operate family estate. Investment related. Not conducted from branch location. 4) Owner of Family Management Group, LLC, entity used to provide administrative services to family estate. Investment related. Not conducted from branch location. 5) Co-owner, RLB Roseland, LLC an entity created for the purpose of owning private property in , as of 06/29/2020; 1% time spent during business hours; Not conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-07-18 |
| S65 | Uniform Investment Adviser Law Examination | 1997-07-17 |
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