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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-25
CT RA APPROVED 2005-04-29
  • TX RA
    APPROVED_RES
    Since 2026-03-25
  • CT RA
    APPROVED
    Since 2005-04-29

Branch Locations

1 Reserve Road, Danbury, CT 06810 • 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
Commonwealth Financial Network Waltham MA 04/2005 Present
Previous Registrations
Other Businesses

1. FIXED INSURANCE SALES AT BRANCH LOCATION, INVESTMENT RELATED. 2. PROSPERITY, LLC - MEMBER AND 33% OWNER OF ENTITY CREATED FOR SECURITIES AND INSURANCE BUSINESS, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-04-01
S63 Uniform Securities Agent State Law Examination 1996-02-12
  • S65 Uniform Investment Adviser Law Examination
    2002-04-01
  • S63 Uniform Securities Agent State Law Examination
    1996-02-12

View on SEC IAPD

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