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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 | 2026-03-26 |
| CA | RA | APPROVED | 2023-05-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Fresno | CA | 04/2004 | 05/2023 |
| Principal Life Insurance Co | Fresno | CA | 04/2004 | 05/2023 |
| Wealth Connections, Wealth Management And Insurance Solutions | Fresno | CA | 09/2022 | Present |
| Commonwealth Financial Network | San Diego | CA | 05/2023 | Present |
1. Fixed insurance sales; as of 5/1/2023; 35% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Wealth Connections Inc. a private entity established to facilitate securities, advisory, and insurance business; as of 5/1/2023; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Owner of rental property located in Fresno, CA, as of 01/2016; 0% time spent during business hours; Not conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-13 |
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