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Thomas Jay Saul

Commonwealth Financial Network

Miami, FL

Arlington, MA

CRD 5814503

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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2022-10-25
FL RA APPROVED 2019-12-06
  • MA RA
    APPROVED
    Since 2022-10-25
  • FL RA
    APPROVED
    Since 2019-12-06

Branch Locations

2398 South Dixie Highway, Miami, FL 33133 • United States

Arlington, MA • 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
Commonwealth Financial Network Waltham MA 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-09
S66 Uniform Combined State Law Examination 2012-07-20
  • S65 Uniform Investment Adviser Law Examination
    2019-10-09
  • S66 Uniform Combined State Law Examination
    2012-07-20
Other Names
  • Thomas J Saul

View on SEC IAPD

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