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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-29
  • NY RA
    APPROVED
    Since 2021-06-29

Branch Locations

660 White Plains Road Suite 155, Tarrytown, NY 10591 • United States

Irvington, NY • 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 11/2003 Present
Highbridge Financial Group, Inc. Tarrytown NY 10/2003 Present
Other Businesses

1. VICE PRESIDENT AND 50% OWNER, GMS ASSOCIATES, INC., PROPERTY TAX CONSULTANTS, NON-INVESTMENT RELATED. 2. SELLING FIXED INSURANCE PRODUCTS AT BRANCH LOCATION, INVESTMENT RELATED. 3. THE HIGHBRIDGE FINANCIAL GROUP, INC. - PRESIDENT, DIRECTOR, AND 50% OWNER OF ENTITY CREATED FOR SECURITIES BUSINESS, INVESTMENT RELATED. 4. CO-OWNER OF RESIDENTIAL RENTAL PROPERTY. NOT INVESTMENT RELATED. NOT CONDUCTED FROM BRANCH LOCATION.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-24
S63 Uniform Securities Agent State Law Examination 1990-08-10
  • S65 Uniform Investment Adviser Law Examination
    1995-10-24
  • S63 Uniform Securities Agent State Law Examination
    1990-08-10
Designations

View on SEC IAPD

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