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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2022-12-05
  • WA RA
    APPROVED
    Since 2022-12-05

Branch Locations

200 1St Ave. W Suite 310, Seattle, WA 98119 • United States

Seattle, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Minnesota Life Agent St. Paul MN 05/2016 12/2022
Securian Financial Services Inc. St. Paul MN 05/2016 12/2022
Securian Advisors Northwest Seattle WA 05/2016 12/2022
Commonwealth Financial Network San Diego CA 12/2022 Present
Dpa Wealth Partners Seattle WA 12/2022 Present
  • 05/2016 → 12/2022
    Minnesota Life Agent
    St. Paul, MN
  • 05/2016 → 12/2022
    Securian Financial Services Inc.
    St. Paul, MN
  • 05/2016 → 12/2022
    Securian Advisors Northwest
    Seattle, WA
  • 12/2022 → Present
    San Diego, CA
  • 12/2022 → Present
    Dpa Wealth Partners
    Seattle, WA
Previous Registrations
  • 2016-06-02 → 2022-12-08
    Securian Financial Services, Inc.
    Seattle, WA
    Seattle, WA
    St Paul, MN
  • 2016-01-27 → 2016-05-19
    Seattle, WA
Other Businesses

Fixed insurance sales, Noemi Chaparro; as of 09/07/2022, 5% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-28
S63 Uniform Securities Agent State Law Examination 2010-06-14
  • S65 Uniform Investment Adviser Law Examination
    2015-12-28
  • S63 Uniform Securities Agent State Law Examination
    2010-06-14

View on SEC IAPD

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