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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-05-01 |
Branch Locations
119 South Trade Street Suite 101, Matthews, NC 28105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital Analysts Incorporated | Cincinnati | OH | 04/2011 | 05/2020 |
| Sterling Financial Group, Inc. | Matthews | NC | 03/2011 | 05/2020 |
| Lincoln Investment | Matthews | NC | 06/2012 | 05/2020 |
| Commonwealth Financial Network | Waltham | MA | 05/2020 | Present |
| Sterling Financial Group | Matthews | NC | 05/2020 | Present |
1.Fixed insurance sales, as an Agent, under the name 'Sterling Financial Group'; As of 05/01/2020; 10% time spent during business hours; Conducted at branch location; Investment related. 2.Attorney, Law Office of Duncan G. Wilson, practicing law; As of 03/01/20; 1% time spent during regular business hours; Conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-07-02 |
| S65 | Uniform Investment Adviser Law Examination | 2011-05-18 |
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