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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2003-08-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Keeling Financial Services | Hyannis | MA | 10/1995 | Present |
| Commonwealth Financial Network | Waltham | MA | 04/1996 | Present |
1. President and Owner, Keeling Financial Strategies, Inc., a private entity established to facilitate securities, investment advisory, and insurance business; As of 09/15/1995; Approximately more than 90% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Fixed insurance sales; As of 01/01/2008; Approximately 5% time spent during securities trading hours per month; Conducted at branch location; Investment related. 3. Co-Owner, Keelestate, LLC, an entity created for the purpose of buying and managing commercial real estate in Mashpee, MA, as of 05/2022; Less than 1% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-07-03 |
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