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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-25 |
| CA | RA | APPROVED | 2014-05-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E&J Gallo Winery | Modesto | CA | 01/2002 | Present |
| Commonwealth Financial Network | San Diego | CA | 05/2014 | Present |
| Leslie Roper Day & Associates | Folsom | CA | 05/2014 | Present |
1) Tax preparation services for D'Books and pro-bono; Not conducted at branch location; Not Investment related. 2) Fixed insurance sales conducted under 'Leslie Roper Day & Associates'; Conducted at branch location; Investment related. 3) Co-owner, Leslie Roper Day & Associates, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 01/01/2021; 100% of time spent during business hours; Conducted at branch; Investment related. 4) Adjunct Faculty, Sacramento State University ("CSUS"), teaching college courses on retirement planning and employee benefits; As of August 2019; 5% time spent during regular business hours; Not conducted at branch; Not investment related. 5) Subleasing branch office space to Sean Fisler; Located in 950 Glenn Drive, Suite 230, Folsom, CA 95630, as of 01/01/2021; 0% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-16 |
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