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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| NC | RA | APPROVED | 2006-12-19 |
Branch Locations
1805 Williams Road, Monroe, NC 28110 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 12/2006 | Present |
| The Pinnacle Financial Group | Monroe | NC | 12/2006 | Present |
1.PFGNC, Inc. operates under dba of the Pinnacle Financial Group, Co-Owner and President, a S-Corp established to facilitate securities business; as of 04/29/2011, Conducted at branch; Investment related. 2.Fixed insurance sales through the Pinnacle Financial Group; As of 04/29/2011; 10% of time spent during business hours, Conducted at branch location; Investment related. 3.Treasurer and Part-Owner of Elite Benefits Group, Inc., an operating company established to conduct fixed insurance sales; Located at 314 North Church Street, Monroe, NC 28112; As of 06/17/14; 10% time spent during regular business hours; Not conducted at branch location; Investment related. 4.Fixed insurance sales through Elite Benefits Group; as of 09/01/2014, 10% of time spent during business hours, Conducted at branch; Investment related. 5.Co-Owner, Pinnacle Insurance, a private entity used to facilitate insurance business as of 04/05/19; 10% time spent during regular business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-24 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-08 |
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