Stephen Joseph Pupa

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2001-01-10

MD RA
APPROVED

Since 2001-01-10

Branch Locations

Forest Hill, MD • 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

Organization	City	State	From	To
Commonwealth Equity Services, Inc.	Bel Air	MD	08/1997	Present
First Susquehanna Financial Group, Inc.	Bel Air	MD	08/1997	Present

08/1997 → Present

Commonwealth Equity Services, Inc.

Bel Air, MD
08/1997 → Present

First Susquehanna Financial Group, Inc.

Bel Air, MD

Previous Registrations

2002-11-19 → 2004-10-20

First Susquehanna Financial Group, Inc.

Bel Air, MD

Other Businesses

1. Fixed insurance sales; as of 1997, 0% of time spent during business hours; conducted at branch; investment related. 2. Owner, Stephen Pupa, Inc., operating company for securities business, as of 01/01/1997, 0% of time spent during business hours, conducted at branch, investment related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-07-22
S63	Uniform Securities Agent State Law Examination	1993-09-22

S65 Uniform Investment Adviser Law Examination

1994-07-22
S63 Uniform Securities Agent State Law Examination

1993-09-22

Designations

Certified Financial Planner

Other Names

Steve Pupa

View on SEC IAPD