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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2002-09-24 |
Branch Locations
4525 South Wasatch Blvd. Suite 250, Salt Lake City, UT 84124 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 09/2002 | Present |
1. FIXED INSURANCE SALES; CONDUCTED AT BRANCH LOCATION; INVESTMENT RELATED. 2. FRED SCHEFFNER, INC; PRESIDENT; ENTITY CREATED TO PROCESS OPERATING EXPENSES OF SECURITIES PRACTICE; CINDUCTED FROM BRANCH LOCATION; INVESTMENT RELATED. 3. STERLING FINANCIAL GROUP; ENTITY CREATED FOR SECURITIES BUSINESS; INVESTMENT RELATED 4. CORNELL GROUP - PART OWNER OF A PRIVATE ENTITY USED TO OWN AND RENT OUT REAL ESTATE PROPERTIES; NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-07-07 |
| S65 | Uniform Investment Adviser Law Examination | 1995-07-06 |
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