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24 Albion Road Suite 340, Lincoln, RI 02865 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 1995-03-05 |
Branch Locations
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 |
|---|---|---|---|---|
| Commonwealth Equity Services, Inc. | East Providence | RI | 01/1995 | Present |
| Sowa Financial Group, Inc. | East Providence | RI | 01/2000 | Present |
1. Steven j. Beauvais Financial Consultant, Inc., owner, operating company for financial services, investment related. 2. Registered representative - 85% of IARs time is devoted to being an RR of Broker-Dealer Commonwealth Equity Services, Inc. Effecting securities transactions - investment related 3. Owner, Beauvais Pottery, Located at Smithfield, RI, as of 01/08/2019; Approximately 0% time spent during securities trading hours per month; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-05-14 |
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