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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2017-12-19 |
Branch Locations
1424 Lynn Ave, Fond Du Lac, WI 54937 • United States
N7640 County Road Wh Suite 900, Fond Du Lac, WI 54937 • United States
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 |
|---|---|---|---|---|
| Sii Investments, Inc. | Fond Du Lac | WI | 12/2009 | 12/2017 |
| Commonwealth Financial Network | Waltham | MA | 12/2017 | Present |
Fixed insurance sales; Located at N7640 County Road WH, Suite 900, Fond Du Lac, WI 54937, as of 12/19/2017; Approximately less than 1% Time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1990-05-14 |
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