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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| CA | RA | APPROVED | 2015-06-11 |
Branch Locations
1201 S Maine St Ste C, Yreka, CA 96097 • United States
Mount Shasta, CA • United States
211 N Mt. Shasta Blvd Ste. 201, Mount Shasta, CA 96067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City Of Mount Shasta | Mount Shasta | CA | 11/2012 | 11/2016 |
| Commonwealth Financial Network | San Diego | CA | 07/2015 | Present |
1. Fixed insurance sales, as of 07/01/2015, 5% of time spent during business hours; Conducted at branch, Investment related. 2. Owner, Harkness Financial LLC a private entity established to facilitate securities, advisory, and insurance business; as of 02/15/2020; Less than 5% of time spent during business hours; Conducted at branch; Investment related. 3. Owner, Harkness Holdings, LLC, an entity created for the purpose of buying and renting commercial real estate located in Yreka, CA, as of 02/27/2020; less than 5% time spent during business hours; Not conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-10 |
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