Harry Michel Romain

Current Employers

Commonwealth Financial Network

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	1995-06-29
RI	RA	APPROVED	1995-06-23

MA RA
APPROVED

Since 1995-06-29
RI RA
APPROVED

Since 1995-06-23

Branch Locations

1150 New London Avenue, Cranston, RI 02920-3036 • United States

Seekonk, MA • 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

Organization	City	State	From	To
Commonwealth Equity Services, Inc.	Cranston	RI	01/1993	Present

01/1993 → Present

Commonwealth Equity Services, Inc.

Cranston, RI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-15
S63	Uniform Securities Agent State Law Examination	1987-03-06

S65 Uniform Investment Adviser Law Examination

1993-11-15
S63 Uniform Securities Agent State Law Examination

1987-03-06

View on SEC IAPD

Current Employers

Commonwealth Financial Network

Disclosures

Employment History

Exams

Other Firms

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