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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-09-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advanced Financial Group | Lufkin | TX | 07/2002 | Present |
| Woodlands Securities Corporation | Lufkin | TX | 05/2004 | 08/2022 |
| Commonwealth Financial Network | San Diego | CA | 09/2022 | Present |
Fixed insurance sales; as of 9/01/2022; 10% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-09 |
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