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Nicholas Robert Frake

Commonwealth Financial Network

Wilmington, DE

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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_RES 2026-03-26
DE RA APPROVED 2015-01-05
PA RA APPROVED 2015-01-05
  • TX RA
    APPROVED_RES
    Since 2026-03-26
  • DE RA
    APPROVED
    Since 2015-01-05
  • PA RA
    APPROVED
    Since 2015-01-05

Branch Locations

3711 Kennett Pike, Suite 201, Wilmington, DE 19807 • 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
Commonwealth Financial Network Waltham MA 01/2015 Present
Wsfs Bank Greenville DE 09/2007 06/2025
Haven Private Wealth Wilmington DE 06/2025 Present
  • 01/2015 → Present
    Commonwealth Financial Network
    Waltham, MA
  • 09/2007 → 06/2025
    Wsfs Bank
    Greenville, DE
  • 06/2025 → Present
    Haven Private Wealth
    Wilmington, DE
Previous Registrations
  • 2007-09-12 → 2015-01-06
    Invest Financial Corporation
    Wilmington, DE
    Glen Mills, PA
    Wilmington, DE
    Greenville, DE
    Wilmington, DE
    Claymont, DE
    Wilmington, DE
    Wilmington, DE
    Greenville, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
    Glen Mills, PA
    Wilmington, DE
    Wilmington, DE
    Claymont, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
    New Castle, DE
    New Castle, DE
    Wilmington, DE
  • 2004-12-10 → 2007-08-08
    T. Rowe Price Advisory Services, Inc.
    Owings Mills, MD
Other Businesses

1. Fixed Insurance Sales; Conducted at Branch; Investment Related 2. Co-owner, Haven Private Wealth LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 6/09/2025; 95% of time spent during business hours; Conducted at branch; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-05
S63 Uniform Securities Agent State Law Examination 2003-05-16
  • S66 Uniform Combined State Law Examination
    2004-08-05
  • S63 Uniform Securities Agent State Law Examination
    2003-05-16
Other Names
  • Nicholas Robert Frake

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
KINGSVIEW WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

LORI ANN RUTKOWSKI
ROBERT GEORGE ZIEGLER
GERARD PHILLIPPE VIARS
STEPHEN CRAIG MCDERMOTT
BRENT CHRISTOPHER FUCHS
Michelle Keiko Mullinix
ABBY LEIGH PUBUSKY
Sophie Schroyer

Other Offices

OSAIC WEALTH, INC. · WILMINGTON, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Wilmington, DE
KINGSVIEW WEALTH MANAGEMENT, LLC · Wilmington, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, DE
PNC WEALTH MANAGEMENT LLC · WILMINGTON, DE
EDWARD JONES · WILMINGTON, DE

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