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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-12-02 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Toms River | NJ | 03/2009 | 11/2024 |
| Commonwealth Financial Network | Waltham | MA | 12/2024 | Present |
| Safe Harbor Wealth Management | Toms River | NJ | 12/2024 | Present |
1. Co-owner, Sportsbeef USA, LLC; sports reality tv; Located in Whiting, NJ; as of 2019; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related. 2. Fixed insurance sales; as of 2015; 5% of time spent during business hours; Conducted at branch location; Investment related. 3. Tax Preparation, Ocean Tax Pros; as of 2019; 10% of time spent during business hours; conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-30 |
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