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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| MO | RA | APPROVED | 2024-06-11 |
Branch Locations
1021 Kingsway Drive Suite 7, Cape Girardeau, MO 63701 • United States
10825 Watson Road Ste 100, Saint Louis, MO 63127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc | San Diego | CA | 02/2015 | 09/2022 |
| First Allied Advisory Services, Inc | Chesterfield | MO | 02/2015 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 06/2024 |
| Cetera Advisors Llc | Cape Girardeau | MO | 09/2022 | 06/2024 |
| Commonwealth Financial Network | Waltham | MA | 06/2024 | Present |
| Carns Financial Group, Llc | Cape Girardeau | MO | 06/2004 | Present |
1. Fixed insurance sales; as of 06/11/2004; 2% time spent during business hours; Conducted at branch location; Investment related. 2. Owner & Managing Member, Carns Financial Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 06/11/2004; 1% time spent during business hours; Conducted at branch; Investment related. 3. Owner, Domus Taigh LLC; an entity created for the purpose of owning and managing residential real estate in Fenton, MO, as of 4/6/2026; % time spent during business hours; Not conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-08 |
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