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Lisa Marie Richard

Commonwealth Financial Network

Danvers, MA

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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-03-21
  • MA RA
    APPROVED
    Since 2023-03-21

Branch Locations

27 Garden Street Suite 1A, Danvers, MA 01923 • 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
New England Wealth Management Danvers MA 04/2010 Present
Commonwealth Financial Network Waltham MA 06/2022 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-03-06
S63 Uniform Securities Agent State Law Examination 2022-12-03
  • S65 Uniform Investment Adviser Law Examination
    2023-03-06
  • S63 Uniform Securities Agent State Law Examination
    2022-12-03
Other Names
  • Lisa M Veilleux
  • Lisa M Bendavid
  • Lisa Richard

View on SEC IAPD

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JANNEY MONTGOMERY SCOTT LLC
ROBERT W. BAIRD & CO. INCORPORATED
CETERA INVESTMENT ADVISERS LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
FORTIS CAPITAL ADVISORS, LLC
NVEST FINANCIAL, LLC

Other Investors

CAMAY KWONG PASCUCCI
KATELYNN JULIE KENDALL
Zachary Delano
DOUGLAS TILGHMAN WILSON
Mark Patrick Sullivan
JAMES FRANKEL HORROCKS
SEAN PATRICK GIBBONS
SHANE POULIN

Other Offices

ONEDIGITAL · Danvers, MA
RBC CAPITAL MARKETS, LLC · DANVERS, MA
JANNEY MONTGOMERY SCOTT LLC · Danvers, MA
ROBERT W. BAIRD & CO. INCORPORATED · Danvers, MA
CETERA INVESTMENT ADVISERS LLC · DANVERS, MA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Danvers, MA
FORTIS CAPITAL ADVISORS, LLC · Danvers, MA
NVEST FINANCIAL, LLC · DANVERS, MA

More in Danvers, MA

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