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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 | 2026-03-24 |
| NC | RA | APPROVED | 2017-11-01 |
Branch Locations
4 Executive Boulevard Suite 203, Suffern, NY 10901 • United States
Pittsboro, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Hackettstown | NJ | 04/2015 | 10/2017 |
| Commonwealth Financial Network | Waltham | MA | 10/2017 | Present |
1. President and 100% Owner, BGI Capital Management, Inc., a private entity established for tax and accounting purposes; as of 10/05/2017; Approximately 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Fixed insurance sales; As of 10/05/2017; Approximately 2% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-07-19 |
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