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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-26 |
| LA | RA | APPROVED | 2021-11-12 |
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 |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-07-11 |
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