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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| PA | RA | APPROVED | 2017-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Wyomissing | PA | 09/2002 | 10/2017 |
| Spring Ridge Financial Group, Llc | Wyomissing | PA | 09/2002 | Present |
| Commonwealth Financial Network | Waltham | MA | 10/2017 | Present |
1. Fixed Insurance Sales; As of 09/28/2017; Approximately 0% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner of rental properties located in Laureldale, PA & Shillington, PA, as of 01/01/2020; 0% time spent during business hours; Not conducted at branch location; Investment related. 3. Co-owner, Spring Ridge Financial Group; a private entity established to facilitate securities, advisory, and insurance business; Located in Wyomissing, PA; as of 01/01/2024;100% time spent during business hours; Conducted at branch; Investment related. 4. Board Member; AAA of Reading Berks; Located at 920 Van Reed Road, Wyomissing, PA 19610, as of 4/21/2022; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 5. Owner, 20 Rock HP, LLC an entity created for the purpose of managing commercial real estate in Wyomissing, PA as of 4/13/2021; 1% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-10-18 |
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