Scott Lee Smith

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2005-08-25

MA RA
APPROVED

Since 2005-08-25

Branch Locations

One India Street Suite 205, Boston, MA 02109-3304 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Commonwealth Financial Network	Waltham	MA	08/2005	Present
Beacon Investment Management, Llc	Boston	MA	08/2005	06/2020

08/2005 → Present

Commonwealth Financial Network

Waltham, MA
08/2005 → 06/2020

Beacon Investment Management, Llc

Boston, MA

Previous Registrations

2010-01-27 → 2020-06-30

Beacon Investment Management, Llc

Boston, MA
2006-08-15 → 2009-12-31

Beacon Investment Management, Llc

Boston, MA
2004-10-20 → 2005-08-26

Banc Of America Investment Services, Inc.

Boston, MA
2004-09-29 → 2004-10-20

Quick & Reilly, Inc.

Boston, MA

Other Businesses

SELLING FIXED INSURANCE PRODUCTS, INVESTMENT RELATED.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-09-10
S63	Uniform Securities Agent State Law Examination	1984-02-10

S65 Uniform Investment Adviser Law Examination

2004-09-10
S63 Uniform Securities Agent State Law Examination

1984-02-10

Other Names

Scott Smith

View on SEC IAPD

Current Employers

Commonwealth Financial Network

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews