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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-05-24 |
Branch Locations
540 Main Street Suite 16A, Hyannis, MA 02601 • 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 |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Co | Hyannis | MA | 06/2016 | 11/2017 |
| Mml Investors Services, Llc | Hyannis | MA | 08/2016 | 11/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Hyannis | MA | 02/2018 | 05/2024 |
| Djs's Family Sports Pub | Falmouth | MA | 01/2018 | 02/2018 |
| Ocean Edge Resort & Golf Club | Brewster | MA | 04/2017 | 02/2018 |
| Bank Of America, N.A. | Hyannis | MA | 05/2018 | 05/2024 |
| Commonwealth Financial Network | Waltham | MA | 05/2024 | Present |
| Axial Financial Group | East Falmouth | MA | 05/2024 | Present |
1.Fixed insurance sales; as of 05/28/2024; 5% of time spent during business hours; Conducted at branch location; Investment related. 2.Owner, Claire & Lee Gifts, Online gift sales; Located in East Falmouth, MA, as of 01/01/2023; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-08 |
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