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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2016-10-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| King Financial Services | Cuyahoga Falls | OH | 09/2013 | Present |
| Signator Investors, Inc. | Cuyahoga Falls | OH | 05/2016 | 10/2016 |
| Commonwealth Financial Network | Waltham | MA | 10/2016 | Present |
Fixed insurance sales; as of 08/09/2023; 5% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-11 |
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