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Warren Stone Duthie

Commonwealth Financial Network

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About Warren Stone Duthie

Warren Stone Duthie is a financial advisor registered with Commonwealth Financial Network. Warren has been in the financial services industry since 2005 and holds Series 6, 7, 63, 65 and 66 securities licenses. Warren is registered to provide investment advisory and brokerage services in 29 states. Warren is also the owner of Duthie Financial Group, LLC, a private entity established to facilitate securities, advisory, and insurance business.

Firm Information

Warren Duthie is currently registered with Commonwealth Financial Network. Commonwealth Financial Network is an Approved Limited Liability Company formed in August 2017 and headquartered in Waltham, Massachusetts. The firm provides financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses and individuals, and other advisory services. They have a presence in all 50 states, as well as in Puerto Rico and the Virgin Islands. The firm manages approximately $177 billion in regulatory assets under management and has a large network of licensed agents, investment adviser representatives, registered representatives, and investment advisory functions. They cater to various client types, including individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and state or municipal government entities.
Commonwealth Financial Network

29 SAWYER ROAD

WALTHAM, MA 02453-3483

$177.03B

Assets Under Management

19,600

Total Clients

3,791

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Warren Duthie’s Registration & Firm History

CA

06/18/2020 - Present

Commonwealth Financial Network (San Diego CA)

CA

07/11/2005 - 06/18/2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN DIEGO CA)

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Licenses & Designations

BOTH

Issued 05/14/2020

Series 66 - Uniform Combined State Law Examination

IA

Issued 02/19/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/05/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2015

Series 7 - General Securities Representative Examination

BC

Issued 07/09/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Warren Stone Duthie. Review regulatory record here.
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