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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 |
| CT | RA | APPROVED | 2021-04-26 |
Branch Locations
31 Liberty Street Suite #207, Southington, CT 06489 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Wallingford | CT | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Wallingford | CT | 11/2016 | 04/2021 |
| Commonwealth Financial Network | Waltham | MA | 04/2021 | Present |
1. Fixed insurance sales; as of 04/07/2021; 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, FS Financial, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 4/8/2021; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-13 |
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