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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2018-09-28 |
| MA | RA | APPROVED | 2018-09-28 |
Branch Locations
15 Main Street Suite B2, Lee, MA 01238 • United States
540 Meadow Street Suite 104, Agawam, MA 01001 • United States
360 Bloomfield Ave Suite 301, Windsor, CT 06095 • United States
West Suffield, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Pittsfield | MA | 09/2005 | 09/2018 |
| Commonwealth Financial Network | Waltham | MA | 09/2018 | Present |
| Trailhead Financial Llc | Agawam | MA | 09/2018 | Present |
1. Fixed insurance sales; as of 09/28/2018; Approximately less than 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner, Trailhead Financial LLC; a Private Entity established to facilitate Securities, advisory, and insurance Business; as of 09/28/2018; Approximately 100% time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-17 |
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