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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-26
LA RA APPROVED 2021-11-12
  • TX RA
    APPROVED_RES
    Since 2026-03-26
  • LA RA
    APPROVED
    Since 2021-11-12

Branch Locations

1411 W Saint Mary Blvd, Lafayette, LA 70506 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Charlotte NC 01/2011 11/2021
Gulf Coast Bank Lafayette LA 01/2011 11/2021
Commonwealth Financial Network Waltham MA 11/2021 Present
4Th Quarter Wealth Management Lafayette LA 11/2021 Present
  • 01/2011 → 11/2021
    Lpl Financial
    Charlotte, NC
  • 01/2011 → 11/2021
    Gulf Coast Bank
    Lafayette, LA
  • 11/2021 → Present
    Waltham, MA
  • 11/2021 → Present
    4Th Quarter Wealth Management
    Lafayette, LA
Previous Registrations
  • 2011-10-06 → 2021-11-29
    Lafayette, LA
    Youngsville, LA
    Lafayette, LA
    Lafayette, LA
    Lafayette, LA
    Lafayette, LA
    Lafayette, LA
    Maurice, LA
    Erath, LA
    Delcambre, LA
    Abbeville, LA
    Abbeville, LA
    Lafayette, LA
    Abbeville, LA
    Lafayette, LA
  • 2007-01-16 → 2011-01-25
    Youngsville, LA
Other Businesses

1. Fixed insurance sales; as of 11/12/2021; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, 4th Quarter Wealth Management; a private entity established to facilitate securities, advisory, and insurance business; as of 11/12/2021; 98% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, 4th Quarter Real Estate Holdings, LLC; an entity created for the purpose of owning real estate at 1411 W. St. Mary Blvd. Lafayette, LA 70506, as of 8/28/2025; % time spent during business hours; Conducted at branch; Investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-07-11
  • S63 Uniform Securities Agent State Law Examination
    2003-07-11

View on SEC IAPD

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