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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-25
CA RA APPROVED 2025-02-03
  • TX RA
    APPROVED
    Since 2026-03-25
  • CA RA
    APPROVED
    Since 2025-02-03

Branch Locations

949 S Coast Dr, Ste. 555, Costa Mesa, CA 92626 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Usa Financial Securities Ada MI 10/2015 01/2025
Sterling Wealth Partners Tustin CA 05/2016 Present
Commonwealth Financial Network Waltham MA 02/2025 Present
  • 10/2015 → 01/2025
    Usa Financial Securities
    Ada, MI
  • 05/2016 → Present
    Sterling Wealth Partners
    Tustin, CA
  • 02/2025 → Present
    Waltham, MA
Previous Registrations
  • 2015-10-01 → 2025-02-12
    Tustin, CA
    Ada, MI
    Tustin, CA
    Tustin, CA
  • 2011-02-18 → 2015-10-05
    J P Turner & Company Capital Management, Llc
    Tustin, CA
  • 2010-09-27 → 2011-02-11
    Qa3 Financial Llc
    Brea, CA
    Minneapolis, MN
Other Businesses

1. Owner, Sterling Wealth Partners LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 05/01/2016; 1% of time spent during business hours; Conducted at branch; Investment related. 2. Owner, Scot Strategy, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 08/01/2014; 99% of time spent during business hours; Conducted at branch; Investment related. 3.Fixed insurance sales; as of 10/07/2024; 2% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-25
S66 Uniform Combined State Law Examination 2004-11-10
  • S65 Uniform Investment Adviser Law Examination
    2010-09-25
  • S66 Uniform Combined State Law Examination
    2004-11-10
Designations

View on SEC IAPD

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