Commonwealth Equity Services is an investment advisor in Waltham with $161.85 bn assets under management.
Company profile
Website
Employees
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 29 Nov 22)
Accounts
540,172
(as of 29 Nov 22)
Employees
4,000
(2700 investment advisory or research)
Address
Commonwealth Equity Services
29 SAWYER ROAD
WALTHAM
MA 02453-3483
29 SAWYER ROAD
WALTHAM
MA 02453-3483
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
SC 13G/A
TORTOISE PIPELINE & ENERGY FUND, INC.
9 Feb 24
13F-HR
Quarterly holdings report by institutional manager
6 Feb 24
SC 13G/A
TORTOISE PIPELINE & ENERGY FUND, INC.
6 Dec 23
SC 13G/A
TORTOISE PIPELINE & ENERGY FUND, INC.
3 Nov 23
13F-HR
Quarterly holdings report by institutional manager
23 Oct 23
13F-HR
Quarterly holdings report by institutional manager
10 Aug 23
13F-HR
Quarterly holdings report by institutional manager
11 May 23
SC 13G
FS Credit Opportunities Corp.
22 Feb 23
13F-HR
Quarterly holdings report by institutional manager
7 Feb 23
SC 13G/A
TORTOISE PIPELINE & ENERGY FUND, INC.
27 Jan 23