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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 | 2026-03-26 |
| NY | RA | APPROVED | 2021-08-20 |
Branch Locations
70 Dutchess Landing Road Suite 7, Poughkeepsie, NY 12601 • United States
Poughkeepsie, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Poughkeepsie | NY | 02/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Poughkeepsie | NY | 11/2016 | 08/2021 |
| Commonwealth Financial Network | Waltham | MA | 08/2021 | Present |
| Dutchess Harbour Wealth Management, Llc | Poughkeepsie | NY | 08/2021 | Present |
1. Owner, Dutchess Harbour Wealth Management, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 08/20/2021; 100% of time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales; as of 10/21/2021; Less than 5% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-03 |
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