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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-05-26 |
| WA | RA | APPROVED | 2015-09-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 09/2015 | Present |
| Compass Financial Network, Llc | Yakima | WA | 05/2024 | Present |
1.Fixed insurance sales, as of 09/15/2015, 1% of time spent during business hours, conducted at branch, investment related. 2.Co-Owner, Compass Financial Network, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 05/07/2024; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-29 |
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