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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-11-01 |
Branch Locations
801 Corporate Center Drive Suite 110, Raleigh, NC 27607 • United States
Cary, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates Inc. | Raleigh | NC | 05/2013 | 11/2017 |
| Royal Alliance Associates Inc. | Raleigh | NC | 05/2013 | 11/2017 |
| Commonwealth Financial Network | Waltham | MA | 11/2017 | Present |
1.Fixed insurance sales; as of 2017; 5% of time spent during business hours; Conducted at branch location; Investment related 2. Board Member, North Carolina Supplemental Retirement Systems Board; Located at 3200 Atlantic Ave, Raleigh, NC 27604; as of 06/21/18; Approximately 1% time spent during securities trading hours per month; Not Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-08-30 |
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