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Dana Andrew Sherman

Commonwealth Financial Network

Warwick, RI

Smithfield, RI

Providence, RI

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2003-05-19
  • RI RA
    APPROVED
    Since 2003-05-19

Branch Locations

1300 Warwick Avenue, Warwick, RI 02888 • United States

445 Putnam Pike, Smithfield, RI 02917 • United States

1 Turks Head Place 16Th Floor, Providence, RI 02903 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Rhode Island Providence RI 01/2003 Present
Commonwealth Financial Network Waltham MA 01/2003 Present
Other Businesses

Fixed insurance sales; as of 2002; Less than 10% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-28
S63 Uniform Securities Agent State Law Examination 1994-11-22
  • S65 Uniform Investment Adviser Law Examination
    2003-04-28
  • S63 Uniform Securities Agent State Law Examination
    1994-11-22

View on SEC IAPD

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MML INVESTORS SERVICES, LLC

Other Investors

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DAVID A NABB
PETER ANTHONY SULLIVAN
FRANK PETER MCGOFF
David Paul DiSanto
ROBERT ALBERT D'AMICO
JAMES MARTIN
Gregory Paul Rodger

Other Offices

ARLEN CAPITAL, LLC · WARWICK, RI
BENTLEY WEALTH ADVISORS, LLC · WARWICK, RI
AMERIPRISE FINANCIAL SERVICES, LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
INTEGRATED WEALTH CONCEPTS LLC · Warwick, RI
OSAIC WEALTH, INC. · WARWICK, RI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WARWICK, RI

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