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James Peter Kos

Commonwealth Financial Network

South Portland, ME

Freeport, ME

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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2017-04-26
  • ME RA
    APPROVED
    Since 2017-04-26

Branch Locations

30 Donald B Dean Drive, South Portland, ME 04106 • United States

Freeport, ME • 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
Hub International New England, Llc Cumberland Foreside ME 05/2015 Present
Commonwealth Financial Network South Portland MA 05/2015 Present
  • 05/2015 → Present
    Hub International New England, Llc
    Cumberland Foreside, ME
  • 05/2015 → Present
    Commonwealth Financial Network
    South Portland, MA
Other Businesses

Fixed insurance sales; as of 11/03/2021; 1% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-04-19
S63 Uniform Securities Agent State Law Examination 2005-12-07
  • S65 Uniform Investment Adviser Law Examination
    2017-04-19
  • S63 Uniform Securities Agent State Law Examination
    2005-12-07
Other Names
  • James Peter Kos
  • James Peter Kos
  • James Kos

View on SEC IAPD

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Other Offices

RICHARD BROTHERS, FINANCIAL ADVISORS · SOUTH PORTLAND, ME
SAVANT WEALTH MANAGEMENT · South Portland, ME
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTH PORTLAND, ME
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · South Portland, ME
KEY INVESTMENT SERVICES LLC · South Portland, ME
EDWARD JONES · South Portland, ME
CETERA INVESTMENT ADVISERS LLC · SOUTH PORTLAND, ME
LPL FINANCIAL LLC · S PORTLAND, ME

More in South Portland, ME

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