COMMONWEALTH FINANCIAL NETWORK
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COMMONWEALTH FINANCIAL NETWORK
(CRD# 8032)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Waltham, MA.
The SEC approved the firm to operate as an RIA in
Jun 1992.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$85.2 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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COMMONWEALTH FINANCIAL NETWORK
also reported in
Mar 2019
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3350
employees,
with
2400
performing advisory functions.
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A total of 1091 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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COMMONWEALTH FINANCIAL NETWORK has one or more disclosure events currently on file with the SEC.
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COMMONWEALTH FINANCIAL NETWORK has Notice Filings with the following State Securities Authorities: AK-Jan 1996, AL-Sep 1993, AR-Sep 1995, AZ-Oct 1995, CA-Jul 1997
, CO-Jan 1999, CT-Feb 2001, DC-Nov 1994, DE-Jun 2002, FL-Aug 1995
, GA-Feb 2001, HI-Jun 1995, IA-Jan 1999, ID-Jan 1996, IL-Mar 1999
, IN-Feb 2001, KS-Mar 1998, KY-Feb 2001, LA-Feb 2001, MA-Apr 1994
, MD-Jul 1993, ME-Nov 1994, MI-Dec 1997, MN-Feb 2001, MO-Apr 1998
, MS-Dec 1997, MT-Dec 1997, NC-Feb 2001, ND-Jan 2000, NE-Dec 2001
, NH-Jan 1995, NJ-Jul 1994, NM-Sep 1995, NV-Sep 1995, NY-Aug 1993
, OH-May 1999, OK-Jan 1998, OR-Jan 2001, PA-Jun 1992, PR-Jul 2001
, RI-Feb 1994, SC-Jan 2001, SD-Jul 1995, TN-Jan 1999, TX-Mar 1984
, UT-Sep 1995, VA-Oct 1994, VI-Nov 2007, VT-Nov 1994, WA-Dec 1994
, WI-Oct 1995, WV-Jul 1995, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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