COMMONWEALTH EQUITY SERVICES, LLC of WALTHAM, MA is an SEC-registered investment adviser (CRD 8032). Regulatory assets under management: $212.7B.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Kirby Lepak Horan-Adams | MANAGER | — |
| Steven Philip Morrison | MANAGER | — |
| Wayne Michael Bloom | CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | — |
| William Bradford Mcmillan | MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER | — |
| Jonathan Christiaan Bohs | MANAGING PRINCIPAL, OPERATIONS | — |
| Christopher Anthony Trapnell Kloman | CHIEF OPERATIONS OFFICER, PRESIDENT | — |
| Peggy Lynn Ho | GENERAL COUNSEL, SENIOR VICE PRESIDENT | — |
| Jonathan C. Cleasby | CHIEF FINANCIAL OFFICER | — |
| Brian Thomas Price | MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER; MANAGING PRINCIPAL, INVESTMENT MANAGEMENT AND RESEARCH | — |
| Matthew John Sugden | BD CHIEF COMPLIANCE OFFICER | — |
| Robert Eric Molinari | RIA CHIEF COMPLIANCE OFFICER | — |
| Alexander William Hansen | RIA CHIEF COMPLIANCE OFFICER; SVP, RIA COMPLIANCE | — |
| Paul Jonathan Tolley | MANAGING PRINCIPAL, CHIEF COMPLIANCE OFFICER | — |
| Joseph Samuel Deitch | CHAIRMAN; TRUSTEE | — |
| John James Rooney | MANAGING PRINCIPAL | — |
| Peter Tompkins Wheeler | MANAGER | — |
| Matthew Fletcher Deitch | VICE CHAIRMAN | — |
| LENNOX LAURIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, COMPLIANCE | — |
| DEITCH JOSEPH SAMUEL | CHAIRMAN; CHAIRMAN, CHIEF EXECUTIVE OFFICER; CHAIRMAN, CHIEF EXECUTIVE OFFICER, TRUSTEE COMMONWEALTH EQUITY SERVICES, LLP VOTING TRUST, MANAGER (+3 more) | — |
| WHEELER PETER TOMPKINS | MANAGER; PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGER (+6 more) | — |
| HUNTER RICHARD MARCUS | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, MANAGING PRINCIPAL; PRESIDENT AND CHIEF OPERATING OFFICER (+3 more) | — |
| ROONEY JOHN JAMES | CHIEF INVESTMENT OFFICER; MANAGING PRINCIPAL; MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER | — |
| BLOOM WAYNE MICHAEL | CHIEF EXECUTIVE OFFICER; PRINCIPAL; VICE PRESIDENT | — |
| KELLY DAVID LINUS | MANAGER OF TRADING & OPERATIONS; MANAGING PRINCIPAL, TECHNOLOGY AND BROKERAGE OPERATIONS; MANAGING PRINCIPAL, TRADING AND BROKERAGE OPERATIONS | — |
| ADELMAN JAMES BERNARD | GENERAL COUNSEL; GENERAL COUNSEL, SENIOR VICE PRESIDENT; GENERAL COUNSEL, VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-11-08 | regulatory | COMMONWEALTH FAILED TO REGISTER ITS INVESTMENT ADVISER REPRESENTATIVE WHO HAS A PLACE OF BUSINESS IN MASSACHUSETTS AND ENSURE THAT ITS INVESTMENT ADVISER REPRESENTATIVE WAS PROPERLY REGISTERED IN MASSACHUSETTS PRIOR TO PROVIDING INVESTMENT ADVISORY SERVICES. | Final | $20K |
| 2021-09-17 | regulatory | COMMONWEALTH, THROUGH ITS EXECUTION OF THE CONSENT ORDER, ACKNOWLEDGED THE ALLEGATION OF THE COMMISSIONER THAT THERE WERE SUFFICIENT FACTS UPON WHICH THE FIRM COULD HAVE BEEN FOUND TO HAVE VIOLATED SEC. 36B-31-6F(B) OF THE REGULATIONS OF THE CONNECTICUT STATE AGENCIES BY FAILING TO ESTABLISH, ENFORC… | Final | $20K |
| 2019-08-01 | civil | THE SEC ALLEGES THAT THE FIRM, IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE MATERIAL CONFLICTS OF INTEREST RELATED TO CERTAIN REVENUE SHARING ARRANGEMENTS WITH ITS CLEARING FIRM IN VIOLATION OF THE PROVISIONS OF SECTION 206(2) OF THE ADVISERS ACT AND FAILED TO ADOPT AND IMPLEME… | Pending | — |
| 2019-08-01 | civil | THE SEC ALLEGES THAT THE FIRM, IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE MATERIAL CONFLICTS OF INTEREST RELATED TO CERTAIN REVENUE SHARING ARRANGEMENTS WITH ITS CLEARING FIRM IN VIOLATION OF THE PROVISIONS OF SECTION 206(2) OF THE ADVISERS ACT AND FAILED TO ADOPT AND IMPLEME… | Final | $5.0M |
| 2019-08-01 | civil | THE SEC ALLEGES THAT THE FIRM, IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE MATERIAL CONFLICTS OF INTEREST RELATED TO CERTAIN REVENUE SHARING ARRANGEMENTS WITH ITS CLEARING FIRM IN VIOLATION OF THE PROVISIONS OF SECTION 206(2) OF THE ADVISERS ACT AND FAILED TO ADOPT AND IMPLEME… | On Appeal | $6.5M |
| 2019-03-11 | regulatory | DURING THE PERIOD JANUARY 1, 2014, TO MARCH 27, 2014, COMMONWEALTH PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. COMMONWEALTH AND ITS ASSOCIATED PERSONS… | Final | — |
| 2018-11-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE… | Final | — |
| 2015-10-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY SALES CHARGE DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF UNIT INVESTMENT TRUSTS (UITS) RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES OF A… | Final | $225K |
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