Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Former names
Commonwealth Equity Services, LLP
SEC CIK
IRS number
42675571
SEC advisor number
801-41541
FINRA CRD number
8032
AUM ?
$161.85 bn
(as of 28 Sep 22)
Accounts
540,172
(as of 28 Sep 22)
Employees
4,000
(2700 investment advisory or research)
Address
Commonwealth Equity Services
29 SAWYER ROAD
WALTHAM
MA 02453
29 SAWYER ROAD
WALTHAM
MA 02453
Office hours
Monday - Friday, 8:30A.M. TO 5:30P.M.
Phone
781 736-0700
Brochures
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Deitch, Joseph Samuel | Chairman | 07/1996 | < 5% |
Hunter, Richard Marcus | President Emeritus | 05/2013 | < 5% |
Rooney, John James | Managing Principal | 09/1988 | < 5% |
Bloom, Wayne Michael | Chief Executive Officer | 01/2009 | < 5% |
Kelly, David Linus | Managing Principal, Trading and Brokerage Operations | 01/1999 | < 5% |
Tolley, Paul Jonathan | Managing Principal, Chief Compliance Officer | 08/2006 | < 5% |
Mcmillan, William Bradford | Managing Principal, Chief Investment Officer | 02/2009 | < 5% |
Wheeler, Peter Tompkins | Vice Chairman | 05/2013 | < 5% |
Bohs, Jonathan Christiaan | Senior Vice President, Brokerage Operations | 05/2013 | < 5% |
Kloman, Christopher Anthony Trapnell | Chief Operations Officer, President | 07/2015 | < 5% |
CFN Ventures, LLC | Shareholder | 08/2017 | > 75% |
CFN Holding Company, LLC | Shareholder | 08/2017 | > 75% |
1979 Holding Company, LLC | Shareholder | 08/2017 | > 75% |
Gratitude Holdings, Inc. | Shareholder | 08/2021 | > 75% |
Ho, Peggy Lynn | General Counsel, Senior Vice President | 04/2021 | < 5% |
Birke, Kol NMN | Managing Principal, Technology and Corporate Strategy | 04/2019 | < 5% |
Cleasby, Jonathan C. | Chief Financial Officer | 06/2020 | < 5% |
Hansen, Alexander William | SVP, Ria Compliance | 09/2021 | < 5% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR/A
Quarterly holdings report by institutional manager (amended)
16 Feb 18
13F-HR/A
Quarterly holdings report by institutional manager (amended)
16 Feb 18
13F-HR/A
Quarterly holdings report by institutional manager (amended)
16 Feb 18
13F-HR/A
Quarterly holdings report by institutional manager (amended)
16 Feb 18
13F-HR
Quarterly holdings report by institutional manager
7 Nov 17
13F-HR
Quarterly holdings report by institutional manager
11 Aug 17
SC 13G
FS Investment CORP
26 May 17
13F-HR
Quarterly holdings report by institutional manager
15 May 17
13F-HR
Quarterly holdings report by institutional manager
1 Feb 17
13F-HR
Quarterly holdings report by institutional manager
25 Oct 16