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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2009-05-08 |
Branch Locations
1807 Libbie Avenue Suite 104, Richmond, VA 23226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | Waltham | MA | 05/2009 | Present |
| Retirement & Estate Investment Services | Richmond | VA | 04/2012 | Present |
1. Member and Owner, Retirement & Estate Investment Services, LLC, a private entity est. to facilitate securities, advisory, and insurance business; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name 'Retirement & Estate Investment Services'; Conducted at branch; Investment related. 3. Durable POA, Executor, and Trustee for non-familial individual; As of 04/03/2020; 1% time spent during regular business hours; Conducted at branch; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-07-10 |
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