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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 |
| NY | RA | APPROVED | 2021-06-22 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Canandaigua National Bank | Canandaigua | NY | 09/2008 | 01/2017 |
| Cetera Investment Serviecs Llc | St.CLoud | MN | 03/2014 | 01/2017 |
| Canandaigua Financial Group | Canandaigua | NY | 02/2017 | Present |
| Commonwealth Financial Group | Waltham | MA | 02/2017 | Present |
1. Fixed insurance sales; as of 2/2/17; Approximately 5% Time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner, Sarkis Financial Corporation a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2021; 10% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-02-08 |
| S65 | Uniform Investment Adviser Law Examination | 2014-02-13 |
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