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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2023-10-23 |
Branch Locations
99 Swift Street, Suite 300, South Burlington, VT 05403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Burlington | VT | 05/2015 | 06/2020 |
| Morgan Stanley Smith Barney Llc | Colchester | VT | 06/2020 | 10/2023 |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2021 | 10/2023 |
| Legacy Financial Services, Llc | South Burlington | VT | 10/2023 | Present |
| Commonwealth Financial Network | Waltham | MA | 10/2023 | Present |
1. Fixed insurance sales; Located in Colchester, VT, as of 10/01/2022, 1% time spent during business hours; Conducted at branch location; Investment related. 2. Owner & President, Legacy Financial Services, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2026; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-17 |
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