Commonwealth Equity Services

Company Profile

Website

Incorporated

Location

Fiscal year end

Former names

Commonwealth Equity Services Inc, Commonwealth Equity Services, Inc., Commonwealth Equity Services, LLC., Commonwealth Equity Services, LLP

SEC CIK

IRS number

42675571

SEC advisor number

801-41541

FINRA CRD number

8032

AUM ?

$161.85 bn (as of 8 Aug 22)

Accounts

540,172 (as of 8 Aug 22)

Employees

4,000 (2700 investment advisory or research)

Address

Commonwealth Equity Services
29 SAWYER ROAD
WALTHAM
MA 02453-3483

Office hours

Monday - Friday, 8:30A.M. TO 5:30P.M.

Phone

781-736-0700

Brochures

Owner	Title	From	%Ownership
Bloom, Wayne Michael	Chief Executive Officer	01/2009	< 5%
Deitch, Joseph Samuel	Chairman	07/1996	< 5%
Hunter, Richard Marcus	President Emeritus	05/2013	< 5%
Rooney, John James	Managing Principal	09/1988	< 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%