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Brooks Paulding Bartlett

Commonwealth Financial Network

Mashpee, MA

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2016-10-04
  • MA RA
    APPROVED
    Since 2016-10-04

Branch Locations

759 Falmouth Rd. Suite 2, Mashpee, MA 02649 • 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
Sunset Financial Services Kansas City MO 11/2011 Present
Kansas City Life Kansas MO 11/2011 Present
Securities America, Inc. Falmouth MA 11/2014 09/2016
Commonwealth Financial Network Waltham MA 09/2016 Present
  • 11/2011 → Present
    Sunset Financial Services
    Kansas City, MO
  • 11/2011 → Present
    Kansas City Life
    Kansas, MO
  • 11/2014 → 09/2016
    Securities America, Inc.
    Falmouth, MA
  • 09/2016 → Present
    Commonwealth Financial Network
    Waltham, MA
Previous Registrations
  • 2014-12-11 → 2016-09-30
    Securities America Advisors, Inc.
    Falmouth, MA
    Cary, NC
Other Businesses

Selling fixed insurnace products under 'Keeling Financial Strategies, Inc.' Investment related and conducted from branch location

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-04-26
  • S63 Uniform Securities Agent State Law Examination
    1985-04-26
Designations
Other Names
  • Brooks P Bartlett
  • Brooks Paulding Bartlett
  • Brooks Paul Bartlett

View on SEC IAPD

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F L PUTNAM INVESTMENT MANAGEMENT CO.
EAGLE STRATEGIES LLC

Other Investors

ERIC CHARLES TAKACH
ROBERT COURTNEY CLOWER
Patricia Susan Starek
EDWARD RICHARD EASTMAN
DAVID JOSEPH MCPHERSON
Keyana Johns Russ
Brandon Hunter Todd
BRENDAN GEGGATT

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Mashpee, MA
LPL FINANCIAL LLC · MASHPEE, MA
CETERA INVESTMENT ADVISERS LLC · COTUIT, MA
CHARLES SCHWAB & CO., INC. · Mashpee, MA
NICHOLS INVESTMENT ADVISORY SERVICES · MASHPEE, MA
LEGACY TWO ADVISORS, LLC · MASHPEE, MA
F L PUTNAM INVESTMENT MANAGEMENT CO. · MASHPEE, MA
F L PUTNAM INVESTMENT MANAGEMENT CO. · Mashpee, MA

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