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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2005-12-21 |
Branch Locations
16935 W. Bernardo Drive Suite 228, San Diego, CA 92127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 12/2005 | Present |
| Financial Life Concepts | San Diego | CA | 12/2005 | Present |
1. Fixed Insurance Sales; as of 2016; 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Tax Preparation, Financial Life Concepts; as of 3/13/2024; 2% of time spent during business hours; Conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-12-29 |
| S65 | Uniform Investment Adviser Law Examination | 2004-11-16 |
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