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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 | 2026-03-24 |
| CA | RA | APPROVED | 2023-10-04 |
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 |
|---|---|---|---|---|
| Independent Financial Group | Paso Robles | CA | 12/2013 | 10/2023 |
| Commonwealth Financial Network | San Diego | CA | 10/2023 | 07/2026 |
| Legacy Retirement Advisors | Paso Robles | CA | 10/2023 | Present |
| Commonwealth Financial Networ | Waltham | MA | 07/2026 | Present |
1. Co-Owner of rental property located in Paso Robles, CA, as of 01/01/2016; 1% of time spent during business hours; Not conducted at branch location; Investment related. 2. Co-Owner of rental property located in Paso Robles, CA, as of 04/01/2003; 1% of time spent during business hours; conducted at branch location; Investment related. 3. Fixed insurance sales; as of 06/01/2013; 5% of time spent during business hours; Conducted at branch location; Investment related. 4. Co-Owner, Legacy Retirement Advisors, a private entity established to facilitate securities, advisory, and insurance business; as of 11/01/2011; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2003-08-23 |
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