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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2011-09-08 |
| IL | RA | APPROVED | 2000-11-02 |
Branch Locations
570 Lake Cook Road Suite 128, Deerfield, IL 60015 • United States
1424 Lynn Ave, Fond Du Lac, WI 54937 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 11/2000 | Present |
1. FIXED INSURANCE SALES; AS AN AGENT UNDER THE MARKETING NAME PINNACLE FINANCIAL GROUP; CONDUCTED FROM BRANCH LOCATION; INVESTMENT RELATED. 2. TJ HOLDINGS, LLC - CO-OWNER AND GENERAL MEMBER OF A PRIVATE ENTITY USED TO OPERATE THE WISCONSIN SECURITIES BRANCH; INVESTMENT RELATED. 3. NOTARY PUBLIC; NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-09-07 |
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