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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-21 |
| NC | RA | APPROVED | 2014-11-10 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Co | Charlotte | NC | 10/2014 | Present |
| Mml Investors Services, Llc | Charlotte | NC | 10/2014 | Present |
(1) NAME: MECKLENBURG COUNTY BOARD OF ELECTIONS INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: ELECTION POLL WORKER POSITION: EQUIPMENT ASSISTANT START: 10/10/2020 NO HRS/MO: 20 NO HRS/MO DUR TRADING: 0. (2) NAME: JAMES ZIEL INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: AUTOMOTIVE REPAIR AND MAINTENANCE POSITION: TECHNICIAN START DATE: 06/15/2023 NO. HR/MO: 15 NO. HR/MO DURING SEC TRADING: 0 DUTIES: PROVIDE AUTOMOTIVE REPAIRS AND MAINTENANCE SERVICES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-05 |
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