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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2012-05-11
  • KS RA
    APPROVED
    Since 2012-05-11

Branch Locations

10801 Mastin Street Suite 370, Overland Park, KS 66210 • 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 05/2012 Present
Infinitas Overland Park KS 01/2016 Present
Previous Registrations
  • 1999-09-01 → 2012-05-16
    Osaic Fa, Inc.
    Overland Park, KS
    Overland Park, KS
Other Businesses

1. Agent, Fixed Insurance Sales; Conducted at branch location; Investment related. 2. Sole Owner, Stanziola Law Practice, LLC, a private entity established as an operating company for legal work performed as an attorney; As of 05/01/2018; Approximately 10% time spent during securities trading hours per month; Conducted at branch location; Not investment related. 3. Attorney at Law, doing business under the name Stanziola Law Practice, performing legal work in estate and business areas; As of 05/01/2018; Approximately 10% time spent during securities trading hours per month; Conducted at branch location; Not investment related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-10-20
  • S63 Uniform Securities Agent State Law Examination
    1992-10-20
Designations
Other Names
  • Jim Stanziola

View on SEC IAPD

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