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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2000-08-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Planning Alternatives | Westport | MA | 10/1992 | Present |
| Transamerica Life Co | San Francisco | CA | 09/1994 | Present |
| Commonwealth Financial Network | Waltham | MA | 03/2000 | Present |
| Advanced Financial Group | Westport | MA | 03/2000 | Present |
1. ADVANCED FINANCIAL GROUP, SELLING FIXED INSURANCE PRODUCTS, AS INSURANCE AGENT, CONDUCTED AT BRANCH OFFICE, SPENDS 30% TIME, INVESTMENT RELATED. 2. RENTAL INVESTMENT PROPERTY, AS 100% OWNER AND MANAGER, NON-INVESTMENT RELATED. 3. SUB-LEASE OFFICE SPACE; NOT INVESTMENT RELATED. 4. OWNER AND PRESIDENT OF TAVERN AND GRILL, SUGAR AND PICO, INC.; NOT INVESTMENT RELATED; NOT CONDUCTED AT BRANCH LOCATION. 5. President with Fat Boy & Princessa, INC; used auto sales and auto repair garage, Located in New Bedford, MA, as of 08/15/2020, 0 % time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-21 |
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