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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2024-07-11 |
| MI | RA | APPROVED | 2018-01-04 |
Branch Locations
4095 Embassy Drive Se Suite B, Grand Rapids, MI 49546 • United States
Las Vegas, NV • 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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/1999 | 02/2017 |
| Commonwealth Financial Network | Waltham | MA | 02/2017 | Present |
1.Partner and Co-Owner, CDFG, LLC, a private entity est. to facilitate securities, advisory, and insurance business; As of 09/03/14; 0% time spent during business hours; Conducted at branch; Investment related. 2.Owner, Retirement Planning Consulting Group, LLC, a private entity est. to facilitate payments for branch office expenses; As of 12/07/05; 1% time spent during business hours; Conducted at branch; Investment related. 3.Fixed insurance sales, as an Agent, under the name 'Sagerock Wealth Partners'; As of 12/09/16; 20% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-09 |
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