Richard Tobey Kagan

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2000-12-31

NC RA
APPROVED

Since 2000-12-31

Branch Locations

Chapel Hill, NC • 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

Organization	City	State	From	To
Commonwealth Financial Network	Waltham	MA	01/2000	Present

01/2000 → Present

Commonwealth Financial Network

Waltham, MA

Other Businesses

1. ADESSENCE MARKETING, INC; CFO AND SHAREHOLDER; MARKETING COMPANY; NON-INVESTMENT RELATED. 2. RIGHT BRAIN MEDIA; CFO AND SHAREHOLDER; INTERNET PUBLISHING COMPANY; NON-INVESTMENT RELATED. 3. GENERATIONS CAPITAL INC.; FIXED INSURANCE SALES; INVESTMENT RELATED. 4. GENERATIONS CAPITAL INC; OWNER; INVESTMENT RELATED; PERFORMED AT BRANCH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1991-09-16
S63	Uniform Securities Agent State Law Examination	1979-07-06

S65 Uniform Investment Adviser Law Examination

1991-09-16
S63 Uniform Securities Agent State Law Examination

1979-07-06

Other Names

Richard T Kagan

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