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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-23
FL RA APPROVED 2016-10-05
PA RA APPROVED 2010-08-19
  • TX RA
    APPROVED_RES
    Since 2026-03-23
  • FL RA
    APPROVED
    Since 2016-10-05
  • PA RA
    APPROVED
    Since 2010-08-19

Branch Locations

200 N Union Street, Kennett Square, PA 19348 • United States

Indian Rocks Beach, FL • 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
Commonwealth Equity Services, Inc. West Chester PA 12/1996 Present
Retirement Capital Advisors West Chester PA 09/1996 Present
  • 12/1996 → Present
    Commonwealth Equity Services, Inc.
    West Chester, PA
  • 09/1996 → Present
    Retirement Capital Advisors
    West Chester, PA
Other Businesses

FIXED INSURANCE SALES UNDER BUSINESS NAME RETIREMENT CAPITAL ADVISORS, CONDUCTED AT BRANCH, INVESTMENT RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-08
S63 Uniform Securities Agent State Law Examination 1994-11-17
  • S65 Uniform Investment Adviser Law Examination
    1996-07-08
  • S63 Uniform Securities Agent State Law Examination
    1994-11-17

View on SEC IAPD

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