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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-12-03 |
Branch Locations
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Rochester | NY | 02/2011 | 12/2021 |
| Commonwealth Financial Network | Waltham | MA | 12/2021 | Present |
| Crossbridge Financial Group, Llc | Rochester | NY | 12/2021 | Present |
1. Fixed insurance sales; as of 12/03/2021; Less than 1% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Brilliant Shoal advisors, a private entity created as pass thru entity for securities, advisory and insurance business; Located in Rochester, NY, as of 02/01/2022; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-30 |
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