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COMMONWEALTH EQUITY SERVICES, LLC

dba COMMONWEALTH FINANCIAL NETWORK · CRD 8032 · Registered Investment Adviser

Criminal disclosureRegulatory disclosure

COMMONWEALTH EQUITY SERVICES, LLC is a Registered Investment Adviser headquartered in WALTHAM, MA. The firm reports $212,660,045,528 in regulatory assets under management across 615,215 accounts. It reports 8 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory).

Regulatory assets under management

Discretionary$207,634,735,496
Non-discretionary$5,025,310,032
Total RAUM$212,660,045,528
Accounts615,215

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 8 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 8032. adviserinfo.sec.gov/firm/summary/8032.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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