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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 |
| NY | RA | APPROVED | 2025-05-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Rochester | NY | 03/2013 | 04/2022 |
| Brighton Securities Corp | Rochester | NY | 04/2022 | 05/2025 |
| Commonwealth Financial Network | Waltham | MA | 05/2025 | Present |
| Rfg Associates | Batavia | NY | 05/2025 | Present |
1. Fixed insurance sales; Located in Holley, NY, as of 12/04/2024; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, Hicks Restivo LLC a private entity established to facilitate securities, advisory, and insurance business; Located in Holley, NY, as of 5/06/2025; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-08 |
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