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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 |
| WA | RA | APPROVED | 2021-06-15 |
Branch Locations
3226 Rosedale Street Suite 200, Gig Harbor, WA 98335 • United States
3226 Rosedale St. Nw Suite 200, Gig Harbor, WA 98335 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2022-03-11 |
Branch Locations
3226 Rosedale St. Nw Suite 200, Gig Harbor, WA 98335 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Tacoma | WA | 01/2009 | 06/2021 |
| Commonwealth Financial Network | Waltham | MA | 06/2021 | 07/2023 |
| Conestoga Wealth Partners | Gig Harbor | WI | 06/2021 | Present |
| Commonwealth Financial Network | San Diego | CA | 06/2021 | Present |
Fixed insurance sales; as of 05/21/2021; 1% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-19 |
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