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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-25 |
| RI | RA | APPROVED | 2021-01-08 |
Branch Locations
91 Tollgate Road Suite 400, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Bank, Na | Boston | MA | 09/2011 | 01/2021 |
| Santander Securities, Llc | Guaynabo | PR | 09/2012 | 01/2021 |
| Commonwealth Financial Network | Waltham | MA | 01/2021 | Present |
1. Fixed insurance sales; as of 12/11/2020; 15% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-Owner of rental property located in Burrillville, RI, as of 06/01/2022; 0% of time spent during business hours; Not conducted at branch location; Investment related. 3. Owner, RMS Financial, LLC a private entity established to facilitate advisory business; as of 03/02/2022; 0% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1995-03-02 |
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