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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2016-09-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Saint Peters | MO | 03/2012 | 09/2016 |
| Commonwealth Financial Network | San Diego | CA | 09/2016 | Present |
| Compass Financial | St. Peters | MO | 09/2016 | Present |
1) PART OWNER OF COMPASS FINANCIAL. ENTITY CREATED TO FACILITATE SECURITIES, ADVISORY, AND INSURANCE BUSINESS. INVESTMENT RELATED AND CONDUCTED AT BRANCH LOCATION. 2) FIXED INSURANCE SALES CONDUCTED UNDER COMPASS FINANCIAL. INVESTMENT RELATED AND CONDUCTED AT BRANCH LOCATION. 3) NOTARY PUBLIC AT BRANCH LOCATION, NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-28 |
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