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Advisor at COMMONWEALTH FINANCIAL NETWORK
WALTHAM, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Jul 2, 2024 | n/a | yes | WALTHAM, MA | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Sep 1, 2023 | Jul 5, 2024 | no | TEMPE, AZ | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Apr 13, 2021 | Sep 1, 2023 | no | TEMPE, AZ | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Sep 6, 2016 | Dec 19, 2019 | no | PHOENIX, AZ|PHOENIX, AZ|Phoenix, AZ|Phoenix, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | COMMONWEALTH FINANCIAL NETWORK | Jul 5, 2024 | Jul 2, 2024 | -3 | Firm change | Ibd to ibd |
| SAGEPOINT FINANCIAL, INC. | OSAIC WEALTH, INC. | Sep 1, 2023 | Sep 1, 2023 | 0 | Bulk transfer | Ibd to ibd |
| CHARLES SCHWAB & CO., INC. | SAGEPOINT FINANCIAL, INC. | Dec 19, 2019 | Apr 13, 2021 | 481 | Firm change after gap | Ibd to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:8032:AZ:2024-07-05 | Jul 5, 2024 | Jul 2, 2024 | TEMPE, AZ | Firm change |