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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-07-02
  • CA RA
    APPROVED
    Since 2009-07-02

Branch Locations

990 Enchanted Way Suite 107, Simi Valley, CA 93065 • United States

Thousand Oaks, CA • 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
Commonwealth Financial Network Waltham MA 07/2009 07/2026
Commonwealth Financial Network Waltham MA 07/2026 Present
Previous Registrations
  • 2005-12-19 → 2009-07-02
    Cetera Wealth Services, Llc
    Simi Valley, CA
Other Businesses

1. Fixed insurances sales; Conducted at branch location, Invested related 2. Co-owner, Bruins, LLC; a private entity leasing property from FANDAB, LLC for vineyard operations; Located at 31251 Highway 146, Soledad, CA 93960; as of 5/05/2026; 1% of time spent during business hours; Not Conducted at branch location; Not Investment related. 3. Co-owner, FANDAB, LLC; an entity created for the purpose of leasing land to Bruins, LLC for vineyard operations at 31251 Highway 146, Soledad, CA 93960, as of 7/06/2026; 1% time spent during business hours; Not Conducted at branch; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-12
S63 Uniform Securities Agent State Law Examination 2005-03-23
  • S66 Uniform Combined State Law Examination
    2005-12-12
  • S63 Uniform Securities Agent State Law Examination
    2005-03-23

View on SEC IAPD

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