Alan Testa

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-03-25
RI	RA	APPROVED	2009-07-09

TX RA
APPROVED_RES

Since 2026-03-25
RI RA
APPROVED

Since 2009-07-09

Branch Locations

1450 Hartford Avenue, Johnston, RI 02919 • 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

Organization	City	State	From	To
Bank Rhode Island	Providence	RI	06/2009	Present
Commonwealth Financial Network	Waltham	MA	06/2009	Present

06/2009 → Present

Bank Rhode Island

Providence, RI
06/2009 → Present

Commonwealth Financial Network

Waltham, MA

Previous Registrations

2007-08-03 → 2009-05-11

Ubs Financial Services Inc.

Providence, RI
2007-04-02 → 2007-08-08

Morgan Stanley & Co. Llc

Providence, RI
2006-08-14 → 2007-04-02

Morgan Stanley Dw Inc.

Providence, RI

Other Businesses

1. FIXED INSURANCE SALES; AS AN AGENT UNDER THE DBA NAME BARI INVESTMENT SERVICES; CONDUCTED FROM BRANCH LOCATION; INVESTMENT RELATED.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-08-11

S66 Uniform Combined State Law Examination

2006-08-11

View on SEC IAPD

Current Employers

Commonwealth Financial Network

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews