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3226 Rosedale St. Nw Suite 200, Gig Harbor, WA 98335 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-01-01 |
Branch Locations
3226 Rosedale St. Nw Suite 200, Gig Harbor, WA 98335 • United States
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-04-17 |
Branch Locations
3226 Rosedale Street Suite 200, Gig Harbor, WA 98335 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Silverdale | WA | 09/2011 | 04/2019 |
| Commonwealth Financial Network | San Diego | CA | 04/2019 | 07/2023 |
| Conestoga Wealth Partners | Gig Harbor | WA | 08/2011 | Present |
| Commonwealth Financial Network | San Diego | CA | 01/2020 | Present |
1. Partner and Co-Owner, Conestoga Wealth Partners, LLC, a private entity established to facilitate securities, advisory, and insurance business; As of 07/29/2011; Approximately less than 5% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Fixed insurance sales, As of 03/01/2019; Approximately 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 3. FINRA Arbitrator, non-public dispute resolution; As of 02/16/2011; Approximately 1% time spent during securities trading hours per month; Not conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-12 |
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