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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2023-04-25
  • MI RA
    APPROVED
    Since 2023-04-25

Branch Locations

8615 Richardson Rd #200, Commerce Twp, MI 48390 • United States

Commerce Township, MI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America Advisors West Bloomfield MI 05/2007 04/2021
Securities America Advisors West Bloomfield MI 12/2011 04/2019
Cedar Brook Financial Partners, Llc/ Dba Cedar Brook Group Commerce Twp. MI 02/2018 04/2023
Cadaret Grant & Co., Inc. Commerce Twp. MI 04/2021 04/2023
The Financial Planning Group Commerce Twp MI 04/2023 Present
Commonwealth Financial Network Waltham MA 04/2023 Present
  • 05/2007 → 04/2021
    Securities America Advisors
    West Bloomfield, MI
  • 12/2011 → 04/2019
    Securities America Advisors
    West Bloomfield, MI
  • 02/2018 → 04/2023
    Cedar Brook Financial Partners, Llc/ Dba Cedar Brook Group
    Commerce Twp., MI
  • 04/2021 → 04/2023
    Cadaret Grant & Co., Inc.
    Commerce Twp., MI
  • 04/2023 → Present
    The Financial Planning Group
    Commerce Twp, MI
  • 04/2023 → Present
    Waltham, MA
Previous Registrations
  • 2018-03-02 → 2023-05-01
    Cedar Brook Group
    West Bloomfield, MI
    Commerce Twp, MI
  • 2021-04-07 → 2023-04-25
    Cadaret, Grant & Co., Inc.
    Syracuse, NY
    Commerce Twp., MI
    Syracuse, NY
    Syracuse, NY
  • 2011-12-08 → 2019-04-09
    Securities America Advisors, Inc.
    West Bloomfield, MI
  • 2010-04-15 → 2012-05-24
    The Professional Advisor Group, Llc
    West Bloomfield, MI
  • 2003-11-03 → 2004-06-14
    Troy , MI
Other Businesses

1.Fixed insurance sales; as of 04/25/2023; 5% time spent during business hours; Conducted at branch location; Investment related. 2. Fitness Instructor, Judi Hernandez, Located at 5018 Oakwood Ct. Commerce Twp., MI 48382 as of 9/30/2018; 0% of time spent during business hours; Not conducted at branch location; Not investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-19
S63 Uniform Securities Agent State Law Examination 1992-01-31
  • S65 Uniform Investment Adviser Law Examination
    2003-03-19
  • S63 Uniform Securities Agent State Law Examination
    1992-01-31
Designations
Other Names
  • Judith Lynn Ballo
  • Judith Lynn Ballo

View on SEC IAPD

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