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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 | 2026-03-24 |
| MI | RA | APPROVED | 2010-10-25 |
Branch Locations
213 East Saint Joseph Street, Lansing, MI 48933 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 02/1999 | Present |
| Smalley Investments | Lansing | MI | 02/1999 | Present |
1. FIXED INSURANCE SALES UNDER NAME SMALLEY INVESTMENTS, CONDUCTED AT BRANCH, INVESTMENT RELATED. 2. SMALLEY INVESTMENTS, SOLE OWNER AND MEMBER OF A PRIVATE ENTITY FOR SECURITIES BUSINESS, CONDUCTED AT BRANCH, INVESTMENT RELATED. 3. ARTIST, WRITER, AND PHOTOGRAPHER., NOT CONDUCTED AT BRANCH, NOT INVESTMENT RELATED. 4. SCOTTISH HOLDINGS, MEMBER AND SOLE OWNER OF A REAL ESTATE HOLDING COMPANY, NOT CONDUCTED AT BRANCH, NOT INVESTMENT RELATED. 5. OWNER AND LANDLORD OF RENTAL PROPERTY; NOT INVESTMENT RELATED; NOT CONDUCTED AT BRANCH LOCATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-10-15 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-20 |
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