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Commonwealth Financial Network CRD 8032
$213B regulatory AUM 20,450 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2021-01-05 |
| RI | RA | APPROVED | 2019-03-21 |
Branch Locations
206 Gano Street, Providence, RI 02906 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Providence | RI | 06/2008 | 02/2019 |
| Commonwealth Financial Network | Waltham | MA | 06/2020 | Present |
| Harkins Wealth Management, Llc | Providence | RI | 06/2008 | Present |
| Commonwealth Financial Network | Waltham | MA | 02/2019 | 06/2020 |
1. Owner, Harkins Wealth Management, LLC, a private entity established to facilitate securities, advisory, and insurance business; As of 04/30/12; Less than 5% time spent during business hours; Conducted at branch; Investment related. 2. Co-Owner, Cortes-Harkins Properties, LLC, a private entity est. to own and manage real estate; As of 02/15/20; 1% time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, Nightshade, LLC; an entity formed for the purpose of operating a restaurant and bar; Located at 134 Ives Street, Provididence, RI; as of 12/15/2021; Less than 1% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-06 |
| S65 | Uniform Investment Adviser Law Examination | 1999-04-06 |
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