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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2003-10-20
  • MA RA
    APPROVED
    Since 2003-10-20

Branch Locations

759 Falmouth Rd. Suite 2, Mashpee, MA 02649 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network Waltham MA 05/2003 Present
Other Businesses

1. Partner of Ryan Family Associates, LLP, created to own and operate family property and investment account. Investment related and conducted from branch location. 2. FIXED INSURANCE SALES AT BRANCH LOCATION, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-09-16
S63 Uniform Securities Agent State Law Examination 1996-09-13
  • S65 Uniform Investment Adviser Law Examination
    2003-09-16
  • S63 Uniform Securities Agent State Law Examination
    1996-09-13

View on SEC IAPD

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