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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-16 |
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