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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 | 2026-03-25 |
| FL | RA | APPROVED | 2024-11-19 |
| MI | RA | APPROVED | 2010-10-14 |
Branch Locations
333 Albert Ave Suite 400, East Lansing, MI 48823 • United States
Big Pine Key, FL • 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 |
|---|---|---|---|---|
| Financial Technology, Inc. | East Lansing | MI | 08/1990 | Present |
| Commonwealth Equity Services, Inc. | Waltham | MA | 05/1997 | Present |
1. President and co-owner, Financial Technology, Inc.; company used to facilitate securities business and TPA services as of 02/01/1990; 100% of time spent during business hours; Conducted at branch location; Investment related. 2. Fixed insurance sales; 1% of time spent during business hours; investment related; conducted at branch location.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-15 |
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