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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 |
| IA | RA | APPROVED | 2024-04-01 |
| NE | RA | APPROVED | 2017-04-07 |
Branch Locations
601 Central Avenue Suite 102, Nebraska City, NE 68410 • United States
806 Illinois Street, Sidney, IA 51652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Omaha | NE | 11/2012 | 04/2017 |
| Commonwealth Financial Network | Waltham | MA | 04/2017 | Present |
1) Fixed insurance sales. Investment related. Conducted from branch location. 2) Co-owner, Pathfinder Wealth Advisors, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/4/2023; 0% time spent during business hours; Conducted at branch; Investment related. 3) Owner, JCH Financial, 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-07-24 |
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