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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| MI | RA | APPROVED | 2015-06-09 |
Branch Locations
307 S. Front Street #107, Marquette, MI 49855 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 06/2015 | Present |
1. Fixed insurance sales, Northstar Investment Management; investment related; conducted at branch location. 2. Co-owner Northstar Investment Management, a private entity established to facilitate securities, advisory, and insurance business; located at 307 s. Front street, Marquette, MI 49855; as of 07/11/2017,approximately 100% time spent during securities trading hours per month; conducted at branch location; investment related. 3. Bassist for local band. Not investment related and not conducted from branch location. 4. Owner, Lumi Funk LLC; Located at Marquette, MI; as of 06/25/2018; Approximately 0% time spent during securities trading hours per month; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-04 |
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