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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-12-21 |
| SC | RA | APPROVED | 2023-12-21 |
Branch Locations
Simpsonville, SC • United States
180 East Main Street Ste 301, Smithtown, NY 11787 • United States
275 Wyman Street, Ste. 400, Waltham, MA 02451 • 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 |
|---|---|---|---|---|
| Louis J Desepoli Cpa | Center Moriches | NY | 01/1997 | Present |
| Cambridge Investment Research, Inc | Fairfield | IA | 01/2013 | 12/2023 |
| Cambridge Investment Research Advisors, Inc | Fairfield | IA | 01/2013 | 12/2023 |
| Commonwealth Financial Network | Waltham | MA | 12/2023 | Present |
| Heritage Financial Advisory Group | Port Jefferson Station | CA | 12/2023 | Present |
1. Fixed insurance sales; as of 12/20/2023; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner, Desepoli Wealth Management, LTD; a private entity established to facilitate securities, advisory, and insurance business; as of 12/20/2023; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner & President, Heritage Financial Advisory Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 12/20/2023; 100% time spent during business hours; Conducted at branch; Investment related. 4. Co-Trustee for 6 non-client trusts, Located in Port Jefferson Station, NY; as of 03/2020; 1% of time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-12-02 |
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