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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 1995-03-07 |
Branch Locations
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 |
|---|---|---|---|---|
| Commonwealth Equity Services, Inc. | Milford | CT | 10/1994 | Present |
1. FIXED INSURANCE SALES, NESTOR FINANCIAL NETWORK; CONDUCTED AT BRANCH LOCATION; INVESTMENT RELATED. 2. OWNER OF NESTOR FINANCIAL NETWORK, LLC, ENTITY CREATED TO FACILITATE INSURANCE BUSINESS; NOT INVESTMENT RELATED; CONDUCTED AT BRANCH LOCATION. 3. CO-TRUSTEE FOR TRUST OF FAMILY FRIEND/NON-CLIENT; LOCATED IN MILFORD, CT, AS OF 3/31/2022; 0% TIME SPENT DURING BUSINESS HOURS; NOT CONDUCTED AT BRANCH LOCATION; NOT INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-29 |
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