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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| NY | RA | APPROVED | 2021-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 05/2015 | Present |
1. Owner, Personal Planning Inc doing business as Capital Financial Planning, entity established to facilitate securities business; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name 'Capital Financial Planning'; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-08-24 |
| S65 | Uniform Investment Adviser Law Examination | 1998-05-14 |
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