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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2013-11-08 |
Branch Locations
4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • United States
Los Alamitos, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Newport Beach | CA | 11/2013 | Present |
| Mml Investors Services Llc | Newport Beach | CA | 11/2013 | Present |
(1) NAME: THE HERMANN FINANCIAL GROUP INC INV REL: Y ADD: 4675 MACARTHUR COURT STE 1050 NEWPORT BEACH CA 92660 NATURE: CORPORATION CREATED TO HAVE BUSINESS FLOW INTO POSITION: EMPLOYEE/DIRECTOR OF WEALTH MANAGEMENT OF THE CORPORATION START DATE: 2/1/2023 NO HRS/MO: 140 NO HRS/MO DUR TRADING: 40 DUTIES: MEMBER OF THE CORPORATE ENTITY CREATED FOR SUCCESSION PLANNING PURPOSES AND TO HAVE ALL BUSINESS REVENUE FLOW THROUGH THE CORPORATION. (2) NAME: WESTERLY SCHOOL OF LONG BEACH BOARD INV REL: Y ADDR: 2950 E 29TH ST, LONG BEACH, CA 90806 NATURE: NONPROFIT ORGANIZATION POSITION: BOARD MEMBER/TRUSTEE START DATE: 08/23/2023 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ATTEND BOARD MEETINGS & HELP MAKE DECISIONS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-03 |
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