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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Banc Of America Investment Services, Inc. | Huntington | CT | 10/2004 | 07/2019 |
| Banc Of America Insurance Services, Inc. | Huntington | CT | 10/2004 | 07/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New Haven | CT | 10/2009 | 07/2019 |
| Bank Of America, Na | New Haven | CT | 01/2010 | 07/2019 |
| Morgan Stanley Smith Barney | Madison | CT | 05/2010 | 07/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2019 |
| Commonwealth Financial Network | Waltham | MA | 07/2019 | Present |
| Mainsail Capital Management | Guilford | CT | 07/2019 | Present |
1. General Partner and Co-Owner, Mainsail Capital Management, a partnership est. to receive advisory income and facilitate business expenses; As of 10/20/19; Greater than 95% time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent; As of 7/19/19; 5% time spent during regular business hours; Conducted at branch; Investment related. 3. Owner, Hillier Enterprises, LLC an entity created for the purpose of buying & managing real estate at 12 Briggs St., Johnstown, NY 12095; as of 2/01/2023; 0% time spent during business hours; Not conducted at branch; Investment related. 4. Owner of rental property located in Madison, CT, as of 2/01/2023; 0% time spent during business hours; Conducted at branch location; Investment related. 5. Co-owner, 15 Rosewood, LLC an entity created for the purpose of buying & managing real estate at 15 Rosewood Ave, Johnstown, NY 12095; as of 2/01/2023; 0% time spent during business hours; Not conducted at branch; Investment related. 6. Co-owner, Paden, LLC; an entity created for the purpose of managing commercial real estate at Grove St, Johnstown, NY 12095, as of 11/04/2022; 0% of time spent during business hours; Not conducted at branch; Investment related. 7. Co-owner, Hillier, LLC; an entity created for the purpose of managing residential real estate at 90 Davis Dr. Guilford, CT 06437, as of 12/01/2022; 0% time spent during business hours; Not conducted at branch; Investment related. 8. Co-owner, Rance, LLC; an entity created for the purpose of buying and managing real estate in Johnstown, NY 12095, as of 1/03/2025; 0% time spent during business hours; Not conducted at branch; Investment related. 9. Co-owner, 216 N. Chase, LLC; an entity created for the purpose of buying and managing residential real estate at 10 Kendal Court, Guilford, CT 06437, as of 1/23/2026; 0% of time spent during business hours; Not Conducted at branch; Investment related. 10. Co-owner, Stoner Lake Development LLC; currently a shell company and created for the purpose of buying and managing future residential/commercial real estate investments, as of 4/13/2026; 0% of time spent during business hours; Not Conducted at branch; Investment related. 11. Chairman, Tethron LLC, providing business consulting; Located in Madison, CT, as of 6/01/2026; 0% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-25 |
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