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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-27 |
| MD | RA | APPROVED | 2016-10-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Reisterstown | MD | 06/2011 | 10/2016 |
| Commonwealth Financial Network | Waltham | MA | 10/2016 | Present |
| Zuma Financial Advisors, Llc | Hampstead | MD | 10/2016 | Present |
1) Owner of Zuma Financial Advisors through personal trust, entity created to facilitate securities, advisory, and insurance businesses, as of 2013, Investment related, conducted from branch location. 2) Fixed insurance sales, as of 06/09/2016, 5% of time spent during business hours, Investment related, conducted from branch location.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-04 |
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