Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Travis Guerry
Travis James Guerry
CRD#: 7701426
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 2002 Eastwood Rd.
Suite 305
Wilmington, NC 28403
Registration History
2010201220142016201820202022202420262 FIRMS2024 - Present (1 year)
Disclosure(s)
View By:
12/23/2010
Criminal
Final Disposition
License(s)

State Registrations

B
North Carolina 4/15/2024
IA
North Carolina 4/15/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2002 Eastwood Rd. Suite 305, Wilmington, NC 28403
Registered with this firm since 4/15/2024
B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
2002 Eastwood Rd. Suite 305, Wilmington, NC 28403
Registered with this firm since 1/12/2024
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.