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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-03-30
  • NC RA
    APPROVED
    Since 2017-03-30

Branch Locations

4000 Westchase Blvd Suite 210, Raleigh, NC 27607 • United States

201 N. Spence Avenue Suite 403, Goldsboro, NC 27534 • 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
Penn Mutual Life Ins Co Durham NC 04/2007 02/2017
Hornor Townsend And Kent, Inc Durham NC 04/2007 02/2017
Massachusetts Mutual Life Insurance Company Raleigh NC 02/2017 Present
Mml Investors Services, Llc Raleigh NC 03/2017 Present
  • 04/2007 → 02/2017
    Penn Mutual Life Ins Co
    Durham, NC
  • 04/2007 → 02/2017
    Hornor Townsend And Kent, Inc
    Durham, NC
  • 02/2017 → Present
    Massachusetts Mutual Life Insurance Company
    Raleigh, NC
  • 03/2017 → Present
    Raleigh, NC
Previous Registrations
  • 2007-04-27 → 2017-03-13
    Morrisville, NC
  • 2004-07-08 → 2007-05-14
    1717 Capital Management Company
    Durham, NC
    Greensboro, NC
    Wilmington, NC
    Durham, NC
Other Businesses

(1) NAME: MATTHEW SCHADE INV REL: Y ADD: 4000 WEST CHASE BLVD SUITE 210 RALEIGH NC 27607 NATURE: OUTSIDE INSURANCE BUSINESS POSITION: AGENT START: 2/1/2017 NO HRS/MO: 20 NO HRS/MO SEC TRADING DESCRIBE DUTIES: LIFE, HEALTH, & GROUP LIFE (2) NAME: MARLINS OF RALEIGH INV REL: N ADD: 4900 WATER'S EDGE DRIVE RALEIGH NC 27606 NATURE: SWIM TEAM POSITION: BOARD MEMBER START: 9/1/2016 NO HRS/MO: 2 NO HRS/MO SEC TRADING: 1 (3) NAME: ARBOR WEALTH MANAGEMENT, LLC INV REL: Y ADD: 4000 WESTCHASE BLVD SUITE 210, RALEIGH, NC 27607 NATURE: LLC FOR MM/MMMLIS COMPENSATION POSITION: MEMBER START DATE: 01/01/2018 NO. HR/MO: 40 NO. HR/MO DURING SEC TRADING: 40 DESCRIBE DUTIES: LLC FOR RECEIVING COMPENSATION AND PAYING EXPENSES FOR DBA

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-29
S63 Uniform Securities Agent State Law Examination 2001-04-16
  • S65 Uniform Investment Adviser Law Examination
    2004-06-29
  • S63 Uniform Securities Agent State Law Examination
    2001-04-16

View on SEC IAPD

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