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Commonwealth Financial Network CRD 8032
$213B regulatory AUM 20,450 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2000-01-01 |
Branch Locations
100 Lafayette St. Suite 205, Pawtaucket, RI 02860 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Equity Services, Inc. | Pawtucket | RI | 09/1990 | Present |
1. Fixed insurance sales, as of September, 1990, Less than 5% of time spent during business hours, conducted at branch, investment related. 2. Tax preparation services, as of 1992; 5% of time spent during business hours; conducted at branch, not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 1981-01-13 |
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