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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 | 2026-03-26 |
| IA | RA | APPROVED | 2014-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 02/2014 | Present |
1. CIO and Part Owner, United Iowa Financial, Inc., a private entity established to facilitate securities, advisory, and insurance business; As of 4/29/19; More than 95% time spent during regular business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name United Iowa Financial; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 1998-02-26 |
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