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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-09-09
  • CA RA
    APPROVED
    Since 2024-09-09

Branch Locations

Ramona, CA • United States

9820 Willow Creek Road Ste 430, San Diego, CA 92131 • 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
Barona Casino Lakeside CA 08/2001 05/2018
Voya Financial Advisors, Inc. San Diego CA 12/2017 11/2021
Lincoln Financial Advisors Corporation San Diego CA 11/2021 09/2024
Commonwealth Financial Network San Diego CA 09/2024 Present
Oasis Wealth Partners San Diego CA 09/2024 Present
  • 08/2001 → 05/2018
    Barona Casino
    Lakeside, CA
  • 12/2017 → 11/2021
    San Diego, CA
  • 11/2021 → 09/2024
    Lincoln Financial Advisors Corporation
    San Diego, CA
  • 09/2024 → Present
    San Diego, CA
  • 09/2024 → Present
    Oasis Wealth Partners
    San Diego, CA
Previous Registrations
  • 2021-11-29 → 2024-09-09
    Osaic Fa, Inc.
    San Diego, CA
    La Jolla, CA
  • 2018-05-15 → 2021-11-30
    San Diego, CA
    Redlands, CA
  • 2021-11-29 → 2021-11-29
    Osaic Fs, Inc.
    Fort Wayne, IN
    San Diego, CA
Other Businesses

Fixed insurance sales, Located in San Diego, CA, as of 9/2/2024, 1% time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-16
  • S66 Uniform Combined State Law Examination
    2018-03-16
Designations
  • Certified Financial Planner

View on SEC IAPD

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