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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-25 |
| WI | RA | APPROVED | 2007-05-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 05/2007 | Present |
| Augistine Financial | West Bend | WI | 05/2007 | Present |
1. Fixed insurance sales; as of 8/30/2018; Less than 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, 4 A Plan Financial, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2021; 0% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-20 |
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