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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-25 |
| MA | RA | APPROVED | 2022-10-14 |
Branch Locations
241 King Street Suite 215, Northampton, MA 01060 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Northampton | MA | 01/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Northampton | MA | 11/2016 | 10/2022 |
| Commonwealth Financial Network | Waltham | MA | 10/2022 | Present |
| Curo Wealth Management | Northampton | MA | 10/2022 | 05/2023 |
| Sophia Wealth Strategies | Northhampton | MA | 05/2023 | Present |
1. Fixed insurance sales; as of 10/14/2022; 3% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner of rental property located in Florence, MA, as of 01/2019; 0% of time spent during business hours; Not conducted at branch location; Investment related. 3. Owner, Sophia Wealth Strategies, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 10/14/2022; 99% time spent during business hours; Conducted at branch; Investment related. 4. Author, selling self- published book of watercolor paintings and poetry, located in Northampton, MA, as of 06/01/2024; Approximately less than 1% time spent during business hours; Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-13 |
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