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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-04 |
Branch Locations
565 8Th Street, Paso Roble, CA 93446 • United States
San Marcos, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Independent Financial Group | San Diego | CA | 01/2013 | 10/2023 |
| Commonwealth Financial Network | San Diego | CA | 10/2023 | 07/2026 |
| Legacy Retirement Advisors | San Marcos | CA | 10/2023 | Present |
| Commonwealth Financial Network | Waltham | MA | 07/2026 | Present |
1. Fixed insurance sales; as of 10/04/2023; 1% of time spent during business hours; Conducted at branch location; Investment related. 2. President, Cook Wealth Advisors; a private entity established to facilitate securities, advisory, and insurance business; as of 4/08/2022; 1% of time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-28 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-01 |
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