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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-05-23 |
Branch Locations
1305 Coach Road Suite E, Reidsville, NC 27320 • United States
Pelham, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Happel Financial Llc | Reidsville | NC | 05/2007 | Present |
| Voya Financial Advisors | Reidsville | NC | 09/2014 | 05/2017 |
| Commonwealth Financial Network | Waltham | MA | 05/2017 | Present |
1. Fixed insurance sales; as of 4/12/2017; Less than 5% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner of Happel Financial, LLC, entity formed to operate securities, advisory, and insurance business. as of 04/01/2017, 100% of time spent during business hours, Investment related. Conducted from branch location.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-02-24 |
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