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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-12-24 |
| OR | RA | APPROVED | 2023-04-24 |
| CA | RA | APPROVED | 2015-08-10 |
Branch Locations
2175 Nw Raleigh Street Suite 110, Portland, OR 97210 • United States
Scottsdale, AZ • 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 |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 08/2015 | Present |
| Astle Investment Management | Palm Desert | CA | 08/2015 | Present |
1. 1. Astle Investment Management, Inc. Part owner of entity created for securities business; Investment related; Conducted at the branch.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1980-12-09 |
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