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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| AZ | RA | APPROVED | 2025-12-16 |
| NE | RA | APPROVED | 2011-08-02 |
Branch Locations
3204 West Benjamin Ave Suite 200, Norfolk, NE 68701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ontime, Llc | Norfolk | NE | 02/2007 | Present |
| Calmwater Financial Group | Norfolk | NE | 11/2011 | Present |
| Commonwealth Financial Network | Waltham | MA | 08/2011 | Present |
1. Fixed insurance sales, as of 05/02/2011, 10% of time spent during business hours, conducted at branch, investment related. 2. Co-Owner, CalmWater Financial Group LLC, private entity created as operating company for securities and investment advisory business, as of 11/18/2011, 1% of time spent during business hours, conducted at branch, investment related. 3. Co-Owner, CalmWater Holding Company, LLC, real estate holding company for constructing new branch office building, as of 01/01/2017, less than 1% of time spent during business hours, conducted at branch, investment related. 4. Owner, On Time, LLC, private entity created as real estate holding company for apartment rental property located in Norfolk, NE, as of 05/02/2011, 1% of time spent during business hours, not conducted at branch, not investment related. 5. President and Owner, CalmStream Inc, a private entity established to facilitate advisory, business; as of 03/22/2021; 10% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-19 |
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