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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2017-04-07 |
Branch Locations
601 Central Avenue Suite 102, Nebraska City, NE 68410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Nebraska City | NE | 12/2005 | 04/2017 |
| Various Insurance Carriers For W&R Insurance Agencies | Peru | NE | 03/2006 | Present |
| Commonwealth Financial Network | Waltham | MA | 04/2017 | Present |
1) Fixed insurance sales. Investment related. Conducted from branch location. 2) Part-owner and managing member of Pathfinder Wealth Advisors, LLC, entity created to operate securities, advisory, and insurance businesses. Investment related. Conducted from branch location. 3) Member & Owner, DP Financial, LLC, a private entity established for tax purposes; as of 01/05/2021; 2% of time spent during business hours; Conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-31 |
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