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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2024-11-26 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors | New York | NY | 05/2006 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 05/2006 | 11/2024 |
| Commonwealth Financial Network | San Diego | CA | 11/2024 | Present |
| Pathfinder Wealth Advisors | Papillion | NE | 11/2024 | Present |
1. Fixed insurance sales; as of 11/15/2024; Less than 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Imperial Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 2/25/2025; 1% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-05-05 |
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