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Carol Ann Esposito

Commonwealth Financial Network

Georgetown, MA

CRD 5123228

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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 2022-01-25
  • MA RA
    APPROVED
    Since 2022-01-25

Branch Locations

Georgetown, 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
Esposito Financial Group/Bd-Commonwealth Financial Network Georgetown MA 03/2006 01/2018
Masconomet Regional School District Boxford MA 05/2015 01/2018
Esposito Law Office Georgetown MA 01/1994 01/2018
Esposito Financial Group/Bd-Commonwealth Financial Network Georgetown MA 01/2018 Present
  • 03/2006 → 01/2018
    Esposito Financial Group/Bd-Commonwealth Financial Network
    Georgetown, MA
  • 05/2015 → 01/2018
    Masconomet Regional School District
    Boxford, MA
  • 01/1994 → 01/2018
    Esposito Law Office
    Georgetown, MA
  • 01/2018 → Present
    Esposito Financial Group/Bd-Commonwealth Financial Network
    Georgetown, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-15
  • S66 Uniform Combined State Law Examination
    2021-11-15

View on SEC IAPD

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