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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 | 2026-03-24 |
| MI | RA | APPROVED | 2018-09-14 |
Branch Locations
395 South Shore Drive Suite 206A, Battle Creek, MI 49014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Battle Creek | MI | 08/2009 | 09/2018 |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
1. Fixed insurance sales; as of 09/14/2018; Approximately less than 5% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner, Asaro Consulting, Inc, operating company which facilitates securities business operations and employment; as of 09/14/2018; Approximately less than 15% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-08-02 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-07 |
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