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Todd George

Commonwealth Financial Network
32 Years of Experience
Warwick, RI
1 DisclosureBrokerSells Insurance
View SEC Summary
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Todd George is a registered investment advisor at Commonwealth Financial Network, based in Warwick, RI, with 32 years of industry experience. Todd 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

300 Metro Center Boulevard, Suite 275, Warwick, RI, 02886-1752

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History

Regulatory History (1)
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
April 2006
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Todd sells fixed insurance products, which is investment-related. He also serves as executor for a family estate and holds power of attorney for a family member, neither of which are investment-related.

Employment History
Current Registrations
Commonwealth Financial Network
January 2009 - Present · 17 yrs 9 mos
Commonwealth Financial NetworkBroker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Commonwealth Financial Network
August 2002 - January 2009 · 6 yrs 5 mos
Commonwealth Financial NetworkBroker
January 2001 - January 2009 · 8 yrs
Quick & Reilly, INC.Broker
February 1998 - January 2001 · 2 yrs 11 mos
Fleet Brokerage Securities, INC.Broker
May 1996 - February 1998 · 1 yr 9 mos
Merit Capital Associates, INC.Broker
May 1994 - July 1994 · 2 mos
Dickinson & CO.Broker
April 1994 - April 1994 · 0 mos
John Hancock Distributors, INC.Broker
February 1994 - April 1996 · 2 yrs 2 mos
John Hancock Mutual Life Insurance CompanyBroker
February 1994 - April 1996 · 2 yrs 2 mos
State Registrations15 states
CACTFLINMAMDNCNHNJNMNYPARISCVA
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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