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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2008-07-22 |
| ME | RA | APPROVED | 2004-07-01 |
Branch Locations
62 Us Route One Suite 102, Cumberland Foreside, ME 04110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 04/2004 | Present |
| Daybreak Financial Partners | Portland | ME | 03/2006 | Present |
1. Guest tv contributor - WMTW, Portland, ME. As of 2008, 5% of time spent during business hours, Not conducted at branch, Not investment related. 2. Co-Owner of 3 unit rental property located in Portland, ME, as of 2001, 0% of time spent during business hours, not conducted at branch, not investment related. 3. Fixed insurance sales; as of 07/18/2008; 3% of time spent during business hours; Conducted at branch location; Investment related. 4. Co-owner, Daybreak Financial Partners, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 1/01/2022; 100% time spent during business hours; Conducted at branch; Investment related. 5. Co-owner, DFP Holdings, Inc., a private entity established to facilitate securities, advisory, and insurance business; as of 01/01/2022, 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-26 |
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