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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-05-03 |
Branch Locations
3705-C West Market St., Greensboro, NC 27403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Emm Financial Services, Inc. | Greensboro | NC | 02/2011 | Present |
| Commonwealth Financial Network | Waltham | MA | 05/2022 | Present |
1. Trustee for the Trust of a friend; Located in Greensboro, NC as of 11/26/2020; 1% of time spent during business hours; Not conducted at branch location; Not investment related. 2. Executor for the Estate of a friend; Located in Greensboro, NC; as of 7/15/2017; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 3. Fixed insurance sales; as of 06/08/2022; 10% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2022-03-07 |
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