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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2018-02-27 |
Branch Locations
23 Midstate Drive Suite 204, Auburn, MA 01501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| John Hancock | Boston | MA | 01/2015 | 09/2016 |
| John Hancock Funds | Boston | MA | 01/2015 | 09/2016 |
| Commonwealth Financial Network | Waltham | MA | 09/2016 | Present |
1. Fixed insurance sales; as of 10/05/2018; Approximately less than 5% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Assistant, Sparhawk Realty, LLC; an entity created for the purpose of managing real estate property in Oak Hill, FL and Edgewater, FL; as of 12/01/2023; 1% of time spent during business hours; Conducted at branch location; Investment related. 3. Owner, MidState Wealth Management Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 08/07/2023; 100% time spent during business hours; Conducted at branch; Investment related. 4. Owner, KMK Capital Holdings LLC; an entity created for the purpose of buying and managing commercial real estate at 206 Southbridge St, Auburn, MA 01501, as of 5/15/2026; 1% of time spent during business hours; Not Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-09 |
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