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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-12-13
  • MA RA
    APPROVED
    Since 2023-12-13

Branch Locations

75 Second Ave Ste 605, Needham Heights, MA 02494 • 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
Investacorp Inc Miami FL 05/2016 07/2020
Investacorp Advisory Services Miami FL 05/2016 07/2020
Securities America, Inc. Needham MA 07/2020 12/2023
Securities America Advisors, Inc. Needham MA 07/2020 12/2023
Commonwealth Financial Network Waltham MA 12/2023 Present
Garon Financial Needham Heights MA 03/2016 Present
  • 05/2016 → 07/2020
    Investacorp Inc
    Miami, FL
  • 05/2016 → 07/2020
    Investacorp Advisory Services
    Miami, FL
  • 07/2020 → 12/2023
    Securities America, Inc.
    Needham, MA
  • 07/2020 → 12/2023
    Securities America Advisors, Inc.
    Needham, MA
  • 12/2023 → Present
    Waltham, MA
  • 03/2016 → Present
    Garon Financial
    Needham Heights, MA
Previous Registrations
  • 2020-07-17 → 2023-12-14
    Securities America Advisors, Inc.
    Needham, MA
    Newton, MA
  • 2016-06-20 → 2020-07-17
    Investacorp Advisory Services Inc
    Newton, MA
Other Businesses

1. Fixed insurance sales; as of 8/21/2023; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Garon Financial, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 8/21/2023; 0% time spent during business hours; Conducted at branch; Investment related. 3. Tax Preparation, Garon Financial; as of 03/2016; 25% of time spent during business hours; Conducted at branch; Not investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-06-05
  • S63 Uniform Securities Agent State Law Examination
    2007-06-05
Designations
Other Names
  • Ken Garon

View on SEC IAPD

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