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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2020-06-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kpmg Llp | Philadelphia | PA | 09/2011 | 02/2020 |
| Spring Ridge Financial Group Llc | Wyomissing | PA | 02/2020 | Present |
| Commonwealth Financial Network | Waltham | MA | 02/2020 | 06/2021 |
| Commonwealth Financial Network | Waltham | MA | 06/2021 | Present |
1. Member and Part Owner, Frank Point, LLC, a familial entity est. to own and manage a recreational property located in Selbyville, DE; As of 07/31/18; 0% time spent during business hours; Not conducted at branch; Investment related. 2 . Co-owner, Spring Ridge Financial Group; a private entity established to facilitate securities, advisory, and insurance business; Located in Wyomissing, PA; as of 01/01/2024;100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-12-08 |
| S65 | Uniform Investment Adviser Law Examination | 2020-06-04 |
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