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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-29 |
Branch Locations
2 Northway Lane Suite F, Latham, NY 12110 • United States
26 Church Street, Hoosick Falls, NY 12090 • United States
Jewett, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Latham | NY | 11/1996 | 10/2016 |
| Commonwealth Financial Network | Waltham | MA | 10/2016 | Present |
1. Co-owner, North Country Financial Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 11/01/2023; 95% of time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as of 11/03/2016, 5% of time spent during business hours, Investment related and conducted from branch location. 3. Board Member, Town of Jewett; Located at 3547 Route 23 C, Jewett, NY 12444, as of 01/01/2022; 5% of time spent during business hours; Not Conducted at branch location; Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-12-28 |
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