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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-04-25
  • MA RA
    APPROVED
    Since 2022-04-25

Branch Locations

9 Monroe Street Unit 1, Northborough, MA 01532 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 07/2016 → 04/2022
    Gwfs Equities, Inc.
    Andover, MA
  • 04/2022 → 02/2023
    Waltham, MA
  • 04/2022 → 02/2023
    James N Ball & Company, Inc
    Northborough, MA
  • 02/2023 → Present
    James N Ball & Company, Inc
    Northborough, MA
  • 02/2023 → Present
    Waltham, MA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-12-21
S63 Uniform Securities Agent State Law Examination 2016-08-10
  • S65 Uniform Investment Adviser Law Examination
    2018-12-21
  • S63 Uniform Securities Agent State Law Examination
    2016-08-10
Designations

View on SEC IAPD

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