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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-07-02 |
| OH | RA | APPROVED | 2017-07-18 |
Branch Locations
3825 Edwards Road Suite 210, Cincinnati, OH 45209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual | Cincinnati | OH | 12/2015 | Present |
| Mml Investors Services | Cincinnati | OH | 01/2016 | Present |
(1) NAME: KESSLING FINANCIAL LLC INV REL: Y ADD: 3825 EDWARDS RD., SUITE 210, CINCINNATI, OH 45209 NATURE: PROCESSING EXPENSES FOR THE KESSLING TEAM POSITION: PART OWNER START DATE: 01/10/2022 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4 DESCRIBE DUTIES: NO COMPENSATION, LOOKING FOR UNIFORMITY FOR SHARED EXPENSES FOR THE TEAM (2) NAME: VILLA MADONNA ACADEMY SOCCER INV REL: N ADD: 2500 AMSTERDAM RD, VILLA HILLS, KY 41017 NATURE: SPORTS OFFICIAL POSITION: JUNIOR VARSITY SOCCER HEAD COACH START DATE: 08/24/2024 NO. HR/MO: 16 NO. HR/MO DURING SEC TRADING: 0 (3) NAME: NORTHERN KENTUCKY CLIPPERS INV REL: Y ADD: 301 KENTON LANDS RD, ERLANGER, KY 41018 NATURE: SWIM TEAM POSITION: BOARD PRESIDENT START DATE: 11/15/2024 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: RUNS AND ATTEND MEETINGS WHERE WE WORK ON STRATEGY AND ISSUES PERTAINING SWIM TEAM ACTIVITIES, COACHES, AND EVENTS (4) NAME: DROPIC CAPITAL ADVISORS, LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: FOR PASS THROUGH COMPENSATION POSITION: OWNER START DATE: 01/14/2026 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4 DESCRIBE DUTIES: TRACKING INCOME FOR THE YEAR FOR ALL BUSINESS COMING IN
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-02 |
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