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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-04-04 |
Branch Locations
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 |
|---|---|---|---|---|
| Various Insurance Carriers | Sacramento | CA | 05/1993 | 04/2024 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 12/2003 | 04/2024 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 03/2005 | 04/2024 |
| Commonwealth Financial Network | San Diego | CA | 04/2024 | Present |
| Leslie Roper Day & Associates | Folsom | CA | 04/2024 | Present |
1. Fixed insurance sales; as of 1/01/2004; 0% time spent during business hours; Conducted at branch location; Investment related. 2. Tasting Room Associate, Willamette Wineworks; Located at 824 Sutter St., Suite 200, Folsom, CA 95930, as of 12/01/2019; 0% of time spent during business hours; Not conducted at branch location; Not investment related. 3. Owner, Opa's Epoch Cookies, selling baked goods; Located at 6826 Hazel Ave, Orangevale, CA 95662, as of 09/11/2025; 8% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-16 |
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