Constance Miller Cook

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2013 → 10/2023
  Independent Financial Group
  San Diego, CA
• 10/2023 → 07/2026
  Commonwealth Financial Network
  San Diego, CA
• 10/2023 → Present
  Legacy Retirement Advisors
  San Marcos, CA
• 07/2026 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2013-01-18 → 2023-10-04
  Independent Financial Group, Llc
  San Diego, CA
  San Diego, CA
  San Marcos, CA
  Paso Robles, CA
• 2006-06-08 → 2012-08-02
  Girard Securities, Inc.
  San Diego, CA
• 2004-06-10 → 2006-06-15
  Td Ameritrade, Inc.
  San Diego, CA
  San Diego, CA

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2004-05-28
• S63 Uniform Securities Agent State Law Examination
  2001-10-01

Other Names

• Connie Ann Miller
• Constance Ann Miller
• Connie Miller
• Constance Miller Cook
• Constance Miller Cook Waitman
• Constance Miller Waitman Cook
• Constance Cook Waitman