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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-23 |
| WA | RA | APPROVED | 2021-09-27 |
Branch Locations
6912 220Th Street Sw Suite 100, Mountlake Terrace, WA 98043 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Mercer Island | WA | 03/2015 | 09/2021 |
| Commonwealth Financial Network | San Diego | CA | 08/2021 | Present |
1. Fixed insurance sales; as of 09/27/2021; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Member, Northwest Investment & Growth, Inc; Investment Club, Located at 801 Second Avenue, Ste 610, Seattle, WA 98104, as of 10/19/1992; 0% of time spent during business hours; Not Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-31 |
| S65 | Uniform Investment Adviser Law Examination | 1999-07-24 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-14 |
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