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Samuel Franco

Commonwealth Financial Network

San Diego, CA

San Diego, CA

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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-05
  • CA RA
    APPROVED
    Since 2021-10-05

Branch Locations

4715 Viewridge Ave Suite 250, San Diego, CA 92123 • United States

San Diego, CA • 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
Scottrade Mission Valley CA 02/2004 03/2018
Cuso Financial Services San Diego CA 11/2018 01/2021
Unemployed San Diego CA 03/2018 10/2018
Ameriprise Financial Services, Llc San Diego CA 01/2021 09/2021
Commonwealth Financial Network Waltham MA 09/2021 Present
Previous Registrations
  • 2021-02-02 → 2021-09-27
    Ameriprise Financial Services, Llc
    San Diego, CA
  • 2018-11-05 → 2021-01-26
    Cuso Financial Services, L.P.
    San Diego, CA
    Fairbanks, AK
    Midlothian, VA
    Gordonsville, VA
    Yuma, AZ
  • 2019-05-06 → 2021-01-26
    Sorrento Pacific Financial, Llc
    San Diego, CA
  • 2017-04-24 → 2018-03-08
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-24
S63 Uniform Securities Agent State Law Examination 2005-05-06
  • S66 Uniform Combined State Law Examination
    2017-04-24
  • S63 Uniform Securities Agent State Law Examination
    2005-05-06
Other Names
  • Sam Franco
  • Sam Franco
  • Samuel Franco
  • Samuel Franco
  • Samuel Franco

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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