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Advisor at COMMONWEALTH FINANCIAL NETWORK
Bradford, VT
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 | Apr 13, 2023 | n/a | yes | Bradford, VT | Current employment |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | Apr 12, 2023 | no | BRADFORD, VT | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | BRADFORD, VT|BOSTON, MA | Previous registration |
| Mariner | Independent wealth | Dec 7, 2010 | Apr 5, 2018 | no | OVERLAND PARK,, KS | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Jun 10, 2009 | Jan 2, 2015 | no | MANCHESTER, NH|BRADFORD, VT|BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | COMMONWEALTH FINANCIAL NETWORK | Apr 12, 2023 | Apr 13, 2023 | 1 | Firm change | Ibd to ibd |
| Mariner | MSI FINANCIAL SERVICES, INC. | Apr 5, 2018 | Jan 2, 2015 | -1,189 | Firm change after gap | Other |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | Mariner | Jan 2, 2015 | Dec 7, 2010 | -1,487 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151664:14251:KS:2018-04-05 | Apr 5, 2018 | Jan 2, 2015 | OVERLAND PARK,, KS | Firm change after gap |
| 615:151664:MA:2015-01-02 | Jan 2, 2015 | Dec 7, 2010 | BOSTON, MA | Firm change after gap |