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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| MA | RA | APPROVED | 2011-12-01 |
Branch Locations
275 Wyman Street, Ste. 400, Waltham, MA 02451 • United States
3 Oak Street, Westborough, MA 01581 • United States
9 Monroe Street Unit 1, Northborough, MA 01532 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ball Financial | Westborough | MA | 02/2003 | Present |
| Commonwealth Financial Network | Waltham | MA | 05/2003 | Present |
1. Fixed insurance sales at branch location, not investment related. 2. Brian James Financial Services, Inc. - entity for securities business; conducted at branch; investment related 3. Owner, rental property located in Northborough, MA; as of 07/09/2020; approximately 2% time spent during business hours; conducted at branch location; investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-09-02 |
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