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Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2006 - 2009 (2 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2001 - 2005 (3 years)
Disclosure(s)
View By:
7/4/2022
Criminal
Final Disposition
1/5/2001
Criminal
Final Disposition
License(s)

State Registrations

B
California 7/1/2009

B
Michigan 6/7/2016

IA
California 7/14/2023

B
New York 6/30/2022

B
Maryland 9/26/2018

IA
Utah 7/14/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
Newbury Park, CA
Registered with this firm since 10/7/2009

B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
Newbury Park, CA
Registered with this firm since 7/1/2009

Previous Registration(s)
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B
10/18/2006 - 07/02/2009 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SIMI VALLEY, CA
B
09/10/2001 - 04/06/2005 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.