Caroline Knights

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

Authority	Category	Status	Date
MA	RA	APPROVED	2023-08-09
RI	RA	APPROVED	2023-08-02

MA RA
APPROVED

Since 2023-08-09
RI RA
APPROVED

Since 2023-08-02

Branch Locations

North Kingstown, RI • United States

250 First Avenue Suite 102, Needham, MA 02494 • 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

Organization	City	State	From	To
Boston Wealth Strategies	Needham	MA	12/2020	09/2023
Commonwealth Financial Network	Waltham	MA	04/2021	09/2023
Unemployment	Boston	MA	05/2020	12/2020
Playworks	Boston	MA	08/2019	05/2020
Fulbright	Guanshan		07/2018	08/2019
Tulsa Public Schools	Tulsa	OK	06/2015	06/2018
Boston Wealth Strategies	Needham	MA	09/2023	Present
Commonwealth Financial Network	Waltham	MA	09/2023	Present

12/2020 → 09/2023

Boston Wealth Strategies

Needham, MA
04/2021 → 09/2023

Commonwealth Financial Network

Waltham, MA
05/2020 → 12/2020

Unemployment

Boston, MA
08/2019 → 05/2020

Playworks

Boston, MA
07/2018 → 08/2019

Fulbright

Guanshan
06/2015 → 06/2018

Tulsa Public Schools

Tulsa, OK
09/2023 → Present

Boston Wealth Strategies

Needham, MA
09/2023 → Present

Commonwealth Financial Network

Waltham, MA

Other Businesses

Fixed insurance sales; Located at 250 First Avenue, Suite 102, Needham, MA 02494, as of 09/20/2023; 1% time spent during business hours; Conducted at branch location; Investment related.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2023-07-14

S63 Uniform Securities Agent State Law Examination

2023-07-14

Designations

Certified Financial Planner

View on SEC IAPD