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.

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

Jun 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Sep 29, 2023

First registration

Sep 29, 2023

Dual registered

yes, broker-dealer

Other names

Charles Stratton

IAPD individual key

7331068

• Occurred

  Jun 24, 2024
  Advisor changed firm

  Charles Joseph Stratton left Ubs Financial Services Inc. for Commonwealth Financial Network (registered 2024-08-12)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ce4d72e4-7a48-e515-d73b-7814d48c837b

First observed

Sep 29, 2023

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.