Business ProfileforCommonwealth Financial Network
Additional business information
The following describes a pending government action that has been formally brought by a government agency but has not yet been resolved. We are providing a summary of the governments allegations, which have not yet been proven.
On 8/1/2019 the US Securities & Exchange Commission (SEC) announced that it had charged Commonwealth Equity Services, LLC with failing to disclose material conflicts of interest related to revenue sharing Commonwealth received for certain client investments.
At-a-glance
Related Categories
Overview
Business Details
This is a multi-location business.
- Headquarters
- 29 Sawyer Road, Waltham, MA 02453-3483
- BBB File Opened:
- 1/1/1979
- Years in Business:
- 45
- Business Started:
- 1/1/1979
- Business Incorporated:
- 8/1/2017
- Licensing Information:
- This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.
- Type of Entity:
- Corporation
- Number of Employees:
- 1150
- Alternate Business Name
- Commonwealth Equity Services, LLC
- Business Management
- Mr. Wayne Bloom, CEO
- Mr. Joseph Deitch, Founder
- Mr. Brian Sullivan, Chief Marketing Officer
- Ms. Stephanie Pearson, Paralegal
- Contact Information
Principal
- Mr. Wayne Bloom, CEO
- Mr. Brian Sullivan, Chief Marketing Officer
Customer Contact
- Mr. Trap Coleman, President/COO
- Mr. Kol Chu Birke, Managing Principal
- Mr. Brian Sullivan, Chief Marketing Officer
- Ms. Stephanie Pearson, Paralegal
- Additional Contact Information
Fax Numbers
- (781) 529-9297Other Fax
Phone Numbers
- (781) 736-0700Other Phone
- (877) 347-1982Other Phone
- (781) 529-9297
Customer Complaints
0 Customer Complaints
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