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James A Short

Commonwealth Financial Network

Alta Loma, CA

CRD 6266265

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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
CA RA APPROVED_RES 2014-02-11
  • CA RA
    APPROVED_RES
    Since 2014-02-11

Branch Locations

9937 Manzanita Drive, Alta Loma, CA 91737 • 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
Montgomery Niemeyer & Co. Llp Covina CA 11/1989 Present
  • 11/1989 → Present
    Montgomery Niemeyer & Co. Llp
    Covina, CA
Other Businesses

MONIE PROPERTIES, LLC 1037 PARK VIEW DR, COVINA, CA 91724 LESSOR OF COMMERCIAL BUILDING AT ABOVE ADDRESS. I'M A MANAGING MEMBER THAT STARTED AT THE END OF 2007 AND DEVOTE LESS THAN 10 HOURS A MONTH ON THIS BUSINESS.

View on SEC IAPD

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