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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analystdual registered (broker-dealer)30 years in industry

LORRAINE JOHNSON

Advisor at COMMONWEALTH FINANCIAL NETWORK

RALEIGH, NC | Cary, NC

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Search this name across graphsid dfx:ria:9c8d2955-96d7-439b-7ee8-c866b17b97e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2002 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 30, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Analyst
Exams: S63
First exam: Aug 30, 1996
First registration: Jan 18, 2002
Dual registered: yes, broker-dealer
Other names: LORRAINE J BASS|LORRAINE JOHNSON BASS|LORRAINE DIANE JOHNSON
IAPD individual key: 2340760

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Nov 1, 2017	n/a	yes	RALEIGH, NC\|Cary, NC	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	May 9, 2013	Nov 3, 2017	no	GREENSBORO, NC\|RALEIGH, NC	Previous registration
TRIAD FINANCIAL ADVISORS, INC.	Former SEC adviser	Jul 18, 2007	May 9, 2013	no	RALEIGH, NC	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 18, 2002	Jul 17, 2007	no	RALIEGH, NC\|Raleigh, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC WEALTH, INC.	COMMONWEALTH FINANCIAL NETWORK	Nov 3, 2017	Nov 1, 2017	-2	Firm change	Ibd to ibd
TRIAD FINANCIAL ADVISORS, INC.	OSAIC WEALTH, INC.	May 9, 2013	May 9, 2013	0	Firm change	Other
PRINCIPAL SECURITIES, INC.	TRIAD FINANCIAL ADVISORS, INC.	Jul 17, 2007	Jul 18, 2007	1	Firm change	Other

Relationships

Registered with (4)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Nov 1, 2017 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
May 9, 2013 to Nov 3, 2017factForm ADV
→ TRIAD FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jul 18, 2007 to May 9, 2013factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jan 18, 2002 to Jul 17, 2007factForm ADV

Dated events

No dated event names this entity yet.