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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-11-20 |
Branch Locations
13455 Noel Road 20Th Floor, Dallas, TX 75240 • United States
Dallas, TX • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Usaa Financial Advisors, Inc | Addison | TX | 05/2012 | 10/2018 |
| Usaa Financial Planning Services | Addison | TX | 05/2012 | 10/2018 |
| Usaa Investment Management Company | Addison | TX | 01/2018 | 10/2018 |
| Massmutual Life Insurance Co | Dallas | TX | 11/2018 | Present |
| Mml Investors Services, Llc | Dallas | TX | 11/2018 | Present |
(1) NAME: AGILITY FINANCIAL GROUP LLC INV REL: Y ADD: 13455 NOEL RD, 20TH FLOOR, DALLAS TX 75240 NATURE: FINANCIAL SERVICES POSITION: PARTNER OF LLC START DATE: 04/25/2023 No. HR/MO: 0. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: NO DUTIES. (2) NAME: PTN FINANCIAL, LLC INV REL: Y ADD: RESIDENTIAL NATURE: USED TO FILE TAXES 1099 INCOME FROM MMLIS AND MASSMUTUAL POSITION: OWNER START DATE: 05/01/2023 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: THIS IS USED FOR TAX PURPOSE WHERE ALL INCOME AND EXPENSES RELATED TO MY CONTRACT AS AN ADVISOR WITH MASSMUTUAL AND MMLIS WILL BE REPORTED (3) NAME: PATRICK NOLAN, INV REL: Y, ADD: 13455 NOEL RD, 20TH FLOOR, DALLAS, TX 75240 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 2/15/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, HEALTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-25 |
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