Adviser and broker representative · Commonwealth Financial Network
Lu Ellen A. Guenther-Smith
CRD 1996397 · Sturbridge, MA
At a glance
Lu Ellen A. Guenther-Smith is an investment adviser representative with Commonwealth Financial Network in Sturbridge, MA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Lu Ellen’s SEC record dates to 2020, about 6 years ago. Lu Ellen is also registered as a broker representative. Designations on file: Chartered Financial Consultant.
Current advisory firm
- Commonwealth Financial NetworkSince February 2020Sturbridge, MA · $213B in regulatory assets
SEC adviser record
- Registered since
- 2020 (6 years)
- Designations
- Chartered Financial Consultant
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Lu’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.