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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| WI | RA | APPROVED | 2009-09-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 09/2009 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-10-31 |
| S65 | Uniform Investment Adviser Law Examination | 1995-10-05 |
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