Leo Francis Downing

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2018-07-06

MA RA
APPROVED

Since 2018-07-06

Branch Locations

303 Wyman Street Suite 300, Waltham, MA 02451 • United States

61 Spit Brook Rd Suite 103, Nashua, NH 03060 • United States

Holliston, MA • 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

Organization	City	State	From	To
Guardian Life Ins Company	Holliston	MA	01/2014	07/2018
Nfp Advisor Services	Austin	MA	10/2014	07/2018
Commonwealth Financial Network	Waltham	MA	07/2018	Present

01/2014 → 07/2018

Guardian Life Ins Company

Holliston, MA
10/2014 → 07/2018

Nfp Advisor Services

Austin, MA
07/2018 → Present

Commonwealth Financial Network

Waltham, MA

Previous Registrations

2017-01-24 → 2018-07-23

Kestra Advisory Services, Llc

Holliston, MA

Austin, TX

Other Businesses

Fixed insurance sales; as of 7/6/2018; Approximately 20% time spent during securities trading hours per month; Conducted at branch location; Investment related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-11-29
S63	Uniform Securities Agent State Law Examination	2008-06-03

S65 Uniform Investment Adviser Law Examination

2016-11-29
S63 Uniform Securities Agent State Law Examination

2008-06-03

Other Names

Leo Francis Downing
Leo Francis Downing
Leo Francis Downing

View on SEC IAPD