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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-04-25 |
Branch Locations
9 Monroe Street Unit 1, Northborough, MA 01532 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities, Inc. | Andover | MA | 07/2016 | 04/2022 |
| Commonwealth Financial Network | Waltham | MA | 04/2022 | 02/2023 |
| James N Ball & Company, Inc | Northborough | MA | 04/2022 | 02/2023 |
| James N Ball & Company, Inc | Northborough | MA | 02/2023 | Present |
| Commonwealth Financial Network | Waltham | MA | 02/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-10 |
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