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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| WI | RA | APPROVED | 2019-01-02 |
Branch Locations
13500 W Capitol Drive Suite 202, Brookfield, WI 53005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Uw-Whitewater | Whitewater | WI | 09/2013 | 09/2017 |
| Lpl Financial Llc | Brookfield | WI | 06/2017 | 12/2018 |
| Commonwealth Financial Network | Waltham | MA | 01/2019 | Present |
| Augustine Financial, Llc | Brookfield | WI | 01/2019 | Present |
1 Fixed insurance sales, as an Agent, under the name Augustine Financial, LLC; As of 1/1/2019; Approximately 10% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2018-01-26 |
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