Robert R Vallee

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2022-03-31

MA RA
APPROVED

Since 2022-03-31

Branch Locations

Tewksbury, MA • United States

275 Wyman Street, Ste. 400, Waltham, MA 02451 • UNITED STATES

Disclosures

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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Santander Securities, Llc	Dorchester	MA	08/2016	02/2022
Santander Bank, Na	Boston	MA	10/2018	02/2022
Commonwealth Financial Network	Waltham	MA	02/2022	Present

08/2016 → 02/2022

Santander Securities, Llc

Dorchester, MA
10/2018 → 02/2022

Santander Bank, Na

Boston, MA
02/2022 → Present

Commonwealth Financial Network

Waltham, MA

Previous Registrations

2016-08-08 → 2022-02-25

Santander Securities Llc

Boston, MA
2016-06-01 → 2016-08-03

Investors Capital Corp.

Bartlett, TN

Lynnfield, MA

Lynnfield, MA

Lynnfield, MA

Lynnfield, MA

Lynnfield, MA

Frisco, TX

Lynnfield, MA

Lynnfield, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-05-31
S63	Uniform Securities Agent State Law Examination	2004-06-02

S65 Uniform Investment Adviser Law Examination

2016-05-31
S63 Uniform Securities Agent State Law Examination

2004-06-02

Other Names

Robert Richard Vallee
Robert Richard Vallee

View on SEC IAPD