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Commonwealth Financial Network CRD 8032
$213B regulatory AUM 20,450 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-06-04 |
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Phoenix | AZ | 08/2014 | 05/2019 |
| Commonwealth Financial Network | San Diego | CA | 05/2019 | Present |
| Edwins Wealth Management | Phoenix | AZ | 05/2019 | Present |
1.Owner; Rooster Mountain 2017, LLC; private company currently inactive; as of 04/2019; Located in Phoenix, AZ, 0% time spent during securities hours; conducted at branch; not investment related 2. Fixed insurance sales, as an Agent, under the name Edwins Wealth Management; As of 05/01/2019; Approximately 20% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-01 |
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