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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| CA | RA | APPROVED | 2019-10-04 |
Branch Locations
2100 Garden Road Suite A203, Monterey, CA 93940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Monterey | CA | 08/2008 | 10/2019 |
| Commonwealth Financial Network | San Diego | CA | 10/2019 | Present |
1. Fixed insurance sales; As of 09/09/2019; 2% time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner of rental property located in Salinas, CA; As of 09/09/2019; 0% time spent during business hours; Not conducted at branch location; Investment related. 3. Owner, HG 43 Plaza LLC; an entity created for the purpose of holding an ownership percentage of Plaza Terrace Apartments; Located at 43 Plaza Cir, Salinas, CA 93901, as of 8/07/2026; 0% of time spent during business hours; Not Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-28 |
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