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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 | 2026-03-26 |
| CA | RA | APPROVED | 2020-10-26 |
Branch Locations
1062 Cass Street Suite 200, Monterey, CA 93940 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Carmel | CA | 09/2011 | 10/2020 |
| Commonwealth Financial Network | San Diego | CA | 10/2020 | Present |
| Monterey Custom Wealth Management | Carmel | CA | 10/2020 | Present |
1. Fixed insurance sales; as of 10/26/2020; 2% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-Owner of rental property located in Pacific Grove, CA, as of 2011; 0% time spent during business hours; Not conducted at branch location; Investment related. 3. Co-Owner, Walker-Deering, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 10/26/2020; 100% of time spent during business hours; Conducted at branch; Investment related. 4. Co-Owner, Monterey Custom Wealth Management, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 10/26/2020; 100% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 1981-07-22 |
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