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Commonwealth Financial Network CRD 8032
$213B regulatory AUM 20,450 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2023-02-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc. | Columbiana, | OH | 05/2012 | 02/2023 |
| Prudential Insurance Company Of America | Columbiana | OH | 05/2012 | 02/2023 |
| Modern Wealth Management | Columbiana | OH | 02/2023 | Present |
| Commonwealth Financial Network | Waltham | MA | 02/2023 | Present |
1. Fixed insurance sales; as of 02/10/2023; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, Modern Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 02/10/2023; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Basketball Coach; Located at 700 Columbiana-Waterford Rd, Columbiana, OH 44408, as of 11/01/2024; 5% time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-04-19 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-02 |
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