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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-07-19
  • CT RA
    APPROVED
    Since 2019-07-19

Branch Locations

149 Durham Road Suite 30, Madison, CT 06443 • 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
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
  • 10/2004 → 07/2019
    Banc Of America Investment Services, Inc.
    Huntington, CT
  • 10/2004 → 07/2019
    Banc Of America Insurance Services, Inc.
    Huntington, CT
  • 10/2009 → 07/2019
    New Haven, CT
  • 01/2010 → 07/2019
    Bank Of America, Na
    New Haven, CT
  • 05/2010 → 07/2019
    Morgan Stanley Smith Barney
    Madison, CT
  • 01/2015 → 07/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 07/2019 → Present
    Waltham, MA
  • 07/2019 → Present
    Mainsail Capital Management
    Guilford, CT
Previous Registrations
  • 2010-05-14 → 2019-07-23
    Madison, CT
  • 2009-10-23 → 2010-05-17
    New Haven, CT
    Guilford, CT
    Huntington, CT
  • 2005-07-25 → 2009-10-23
    Banc Of America Investment Services, Inc.
    New Haven, CT
    Madsion, CT
    Huntington, CT
    Madison, CT
    Huntington, CT
    North Branford, CT
    Guilford, CT
    Guilford, CT
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-22
S63 Uniform Securities Agent State Law Examination 2003-04-25
  • S65 Uniform Investment Adviser Law Examination
    2005-07-22
  • S63 Uniform Securities Agent State Law Examination
    2003-04-25

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