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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-06-19
OK RA APPROVED 1999-08-17
  • TX RA
    APPROVED_RES
    Since 2009-06-19
  • OK RA
    APPROVED
    Since 1999-08-17

Branch Locations

2200 S Utica Place Suite 400, Tulsa, OK 74114 • United States

Broken Arrow, OK • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Co Tulsa OK 06/1987 Present
Mml Investors Services, Llc Tulsa OK 04/1989 Present
Other Businesses

(1) NAME: OND FINANCIAL SOLUTIONS INV REL: Y ADD: 2200 S UTICA PLACE, SUITE 400, TULSA, OK 74114 NATURE: INSURANCE SALES POSITION: OWNER START DATE: 1995 NO. HR/MO: 180 NO. HR/MO DURING SEC TRADING: 160 DESCRIBE DUTIES: INDIVIDUAL LIFE AND PROPERTY/CASUALTY INSURANCE. (2) NAME: OND FINANCIAL SOLUTIONS INV REL: Y ADD: 2200 S UTICA PLACE, SUITE 400, TULSA, OK 74114 NATURE: POSITION: SALES/OWNER/AGENT START DATE:1995 NO. HR/MO: 180 NO. HR/MO DURING SEC TRADING: 160 DESCRIBE DUTIES: OND FINANCIAL SOLUTIONS- BUSINESS OWNER 100%. (3) NAME: STEPHEN FRANK INV REL: Y ADD: 2200 S UTICA PLACE, SUITE 400, TULSA, OK 74114 NATURE: CONSULTING/LIFE SETTLEMENTS POSITION: ADVISOR START DATE: 5/22/2024 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DUTIES: WHEN APPROPRIATE, ASSIST CLIENTS IN SECURING AND PLACING LIFE SETTLEMENT OFFERS FOR THEIR EXISTING LIFE INSURANCE POLICIES. (4) NAME: CEDAR RIDGE COUNTRY CLUB INV REL: N ADD: 10302 S GARNETT RD, BROKER ARROW OK 7401221 NATURE: COUNTRY. I SERVE ON THE BOARD POSITION: SECRETARY START DATE: 01/01/2025 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 5 DESCRIBE DUTIES: SET UP CLUB POLICY. OVERSEE CLUB OPERATION, ETC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-19
S63 Uniform Securities Agent State Law Examination 1989-07-21
  • S65 Uniform Investment Adviser Law Examination
    1999-07-19
  • S63 Uniform Securities Agent State Law Examination
    1989-07-21
Other Names
  • Stephen R Frank

View on SEC IAPD

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