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John Augustine

Commonwealth Financial Network
33 Years of Experience
West Bend, WI
2 DisclosuresBrokerSells Insurance
View SEC Summary
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John Augustine is a registered investment advisor at Commonwealth Financial Network, based in West Bend, WI, with 33 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

111 S. Main Street, West Bend, WI, 53095

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2010
Denied
Customer Dispute
February 2010
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John sells fixed insurance, dedicating about a quarter of his time to this activity, and refers Medicare products, spending minimal time. He also co-owns multiple rental properties and owns Augustine Financial, LLC to facilitate his securities business, spending nearly all his time on this.

Employment History
Current Registrations
Commonwealth Financial NetworkBroker
November 2019 - Present · 6 yrs 11 mos
Commonwealth Financial Network
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Commonwealth Financial NetworkBroker
May 2006 - November 2019 · 13 yrs 6 mos
Commonwealth Financial Network
May 2006 - November 2019 · 13 yrs 6 mos
First Heartland Consultants, INC.
August 2002 - May 2006 · 3 yrs 9 mos
First Heartland Capital, INC.Broker
July 2002 - May 2006 · 3 yrs 10 mos
Thrivent Investment Management INC.Broker
July 2002 - August 2002 · 1 mo
Lutheran Brotherhood Securities CORP.Broker
June 1994 - July 2002 · 8 yrs 1 mo
Pruco Securities CorporationBroker
December 1992 - June 1994 · 1 yr 6 mos
State Registrations29 states
ALAZCACOFLHIIAIDILINMDMIMNMONCNDNENHNJNMNYOHPASDTXVAVTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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