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Commonwealth Financial Network CRD 8032
$213B regulatory AUM 20,450 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2009-02-09 |
Branch Locations
300 Metro Center Boulevard Suite 275, Warwick, RI 02886-1752 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 01/2001 | Present |
| Todd M. George Investment & Retirement Services | Warwick | RI | 01/2009 | Present |
1. FIXED INSURANCE SALES AT BRANCH LOCATION, INVESTMENT RELATED. 2. EXECUTOR FOR FAMILY RELATED ESTATE, NOT AT BRANCH LOCATION, NOT INVESTMENT RELATED. 3. POWER OF ATTORNEY FOR FAMILY MEMBER, NOT AT BRANCH LOCATION, NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-16 |
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