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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-08-12 |
Branch Locations
495 Metro Place South Suite 160, Dublin, OH 43017 • United States
Dublin, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services | Dublin | OH | 08/2016 | 11/2017 |
| G.A. Repple & Co | Dublin | OH | 03/2020 | 06/2021 |
| Regulus Advisors, Llc | Dublin | OH | 02/2018 | 03/2020 |
| Penn Mutual Life Insurance Company | Columbus | OH | 12/2021 | 08/2022 |
| Hornor Townsend & Kent Llc | Columbus | OH | 06/2021 | 08/2022 |
| Massmutual Life Insurance Co. | Dublin | OH | 04/2016 | Present |
| Mml Investors Services, Llc | Dublin | OH | 08/2022 | Present |
| Ohio National Financial Services | Dublin | OH | 11/2017 | 12/2021 |
| Regal Investment Advisors, Llc | Dublin | OH | 02/2018 | 03/2020 |
(1) Name: The Upstream Group Inv rel: Y Add: 6181 Memorial Dr. Dublin OH 43017 Nature: Outside Insurance Sales; Life and Disability Position: President/CEO Start date: 07/31/2022 No. HR/MO: 10 No. HR/MO dur trading: 10 (2) Name: The Upstream Group Inv rel: Y Add: 6181 Memorial Dr. Dublin OH 43017 Nature: DBA for Insurance and Investment Services Position: President/CEO Start date: 11/03/2021 No. HR/MO: 160 No. HR/MO dur trading: 160 Describe duties: DBA for Insurance and Investment Services and Sales. (3) NAME: Association of Financial Educators INV REL: Y ADD: Residential Address NATURE: Volunteer to teach financial literacy courses POSITION: Advisor START DATE: 03/01/2023 NO. HR/MO: 3-5 NO. HR/MO DURING SEC TRADING: 3-5 DESCRIBE DUTIES: I will teach financial courses provide by the Associate of Financial Educators at business/organizations for their employee's benefit.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-25 |
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