Brian D Konz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2009 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2009-06-01 → 2009-09-28
  Morgan Stanley
  Watertown, WI
  Waukesha, WI
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Wauwatosa, WI
  Watertown, WI
• 2006-09-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  Wauwatosa, WI
  Watertown, WI
  Watertown, WI
  Wauwatosa, WI

Other Businesses

1. Fixed insurance sales, as of 10/2009, 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-Owner, Oswald Konz Financial Group, private entity created for securities business; as of 09/25/2009, 100% of time spent during business hours, Conducted at branch location; Investment related. 3. Co-Owner, OKG Properties, LLC, private entity created to own and operate building that branch office operates out of; as of 01/18/2017, 2% of time spent during business hours, Conducted at branch location; Investment related.

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-10-31
• S65 Uniform Investment Adviser Law Examination
  1995-10-05

Other Names

• Brian Dean Konz