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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-25 |
| CA | RA | APPROVED | 2018-11-01 |
Branch Locations
307 Main St Suite 300, Salinas, CA 93901 • United States
Salinas, CA • United States
307 Main Street Suite 300, Salinas, CA 93901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2012-06-12 |
Branch Locations
307 Main Street Suite 300, Salinas, CA 93901 • 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 |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Salinas | CA | 12/1994 | 11/2018 |
| Hastie Financial Group | Salinas | CA | 02/2012 | Present |
| Commonwealth Financial Network | Waltham | MA | 11/2018 | Present |
1.Fixed insurance sales, as an Agent; As of 06/28/2018; Approximately .1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Registered Representative and Investment Advisor Representative of Commonwealth Financial Network, registered broker/dealer and registered investment advisor. As of 11/1/2018. Sell securities and manage investment advisory accounts. Investment related. Approximately 84% of time spent on this activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-23 |
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