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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-24
NC RA APPROVED 2012-05-01
  • TX RA
    APPROVED_RES
    Since 2026-03-24
  • NC RA
    APPROVED
    Since 2012-05-01

Branch Locations

Wilmington, NC • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network Waltham MA 05/2012 Present
Previous Registrations
Other Businesses

1. Owner, M3 Capital Management, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 04/30/2012; 100% of time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as of 04/30/2012, 100% of time spent during business hours, Conducted at branch; Investment related. 3. Owner, My Time Holdings, LLC, an entity created for the purpose of buying and managing real estate, Located in Cullowhee, NC, as of 10/01/2019; 0% of time spent during business hours; Not Conducted at branch; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-02
S63 Uniform Securities Agent State Law Examination 1994-06-09
  • S65 Uniform Investment Adviser Law Examination
    2006-02-02
  • S63 Uniform Securities Agent State Law Examination
    1994-06-09

View on SEC IAPD

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