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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-01-18
  • NJ RA
    APPROVED
    Since 2024-01-18

Branch Locations

Galloway, NJ • United States

750 Rt 73 South Suite 101, Malton, NJ 08053 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Investors Capital Corporation Lynnfield MA 07/2012 10/2016
Cetera Advisors Llc Denver CO 10/2016 01/2024
Commonwealth Financial Network Marlton NJ 01/2024 Present
  • 07/2012 → 10/2016
    Investors Capital Corporation
    Lynnfield, MA
  • 10/2016 → 01/2024
    Cetera Advisors Llc
    Denver, CO
  • 01/2024 → Present
    Marlton, NJ
Previous Registrations
  • 2016-10-03 → 2024-01-18
    Cetera Advisors Llc
    Marlton, NJ
  • 2012-07-02 → 2016-10-03
    Investors Capital Corp.
    Lynnfield, MA
    Marlton, NJ
    Lynnfield, MA
    Lynnfield, MA
    Lynnfield, MA
    Lynnfield, MA
  • 2003-07-02 → 2012-07-06
    Iselin, NJ
    Maplewood, NJ
    Maplewood, NJ
Other Businesses

Fixed insurance sales; as of 12/06/2023; Less than 10% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-24
S63 Uniform Securities Agent State Law Examination 1987-01-26
  • S65 Uniform Investment Adviser Law Examination
    2003-06-24
  • S63 Uniform Securities Agent State Law Examination
    1987-01-26

View on SEC IAPD

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