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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-03-01 |
Branch Locations
2830 100Th St Suite 108, Urbandale, IA 50322 • United States
Johnston, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co | Clive | IA | 08/2003 | 03/2024 |
| Park Avenue Securities Llc | Clive | IA | 07/2003 | 03/2024 |
| Massmutual Life Insurance Co | Urbandale | IA | 02/2024 | Present |
| Mml Investors Services, Llc | Urbandale | IA | 03/2024 | Present |
(1) Name: DeVries Financial Inv Rel: Y Addr: At residential address Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 3/1/2024 No. Hr/Mo: 5 No. Hr/Mo During Sec Trading: 5 Duties: Life, disability, long-term care, fixed annuities. (2)Name: DeVries Ace 1, LLC; DeVries Ace 2, LLC; DeVries Ace 3, LLC Inv Rel: Y Addr: At various addresses on file with the filing firm Nature: Realtor/Real Estate Position: Passive Investors Start Date: 1/1/2022 No. Hr/Mo: 3 No. Hr/Mo During Sec Trading: 3 Duties: Passive investment income; hardware store. (3)Name: Bucket$$, LLC Inv Rel: Y Addr: At residential address Nature: Realtor/Real Estate Position: Passive Investor Start Date: 6/1/2021 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Real estate investment. (4)Name: Deka Etairos, LLC Inv Rel: Y Addr: At residential address Nature: Realtor/Real Estate Position: Passive Investor Start Date: 10/1/2022 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Real estate investment. (5)Name: DeVries Ventures, LLC Inv Rel: Y Addr: At residential address Nature: Realtor/Real Estate Position: Passive Investor Start Date: 1/1/2018 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Real estate investment. (6)Name: SC Partners, LLC Inv Rel: Y Addr: At residential address Nature: Realtor/Real Estate Position: Passive Investor Start Date: 1/1/2018 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Real estate investment. (7)Name: DeVries Equipment Rental, LLC Inv Rel: Y Addr: At residential address Nature: Rental Income Position: Passive Investor Start Date: 9/10/2021 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Rental income from equipment. (8)Name: Brothers Ace 1, LLC; Brothers Ace 2, LLC; Brothers Ace 3, LLC Inv Rel: Y Addr: At various addresses on file with the firm Nature: Retail Sales Position: Passive Investor Start Date: 1/1/2022 No. Hr/Mo: 3 No. Hr/Mo During Sec Trading: 3 Duties: Hardware store. (9)Name: Brothers Market, Inc.; Brothers Market 10; Brothers Market 11; Brothers Market 12; Brothers Market 13; Brothers Market 14; Brothers Market 15; Brothers Market 16; Brothers Market 5; Brothers Market 6; Brothers Market 7; Brothers Market 8; Brothers Market 9; Brothers Market Four, LLC; Brothers Market Ops, LLC; Brothers Market Three, Inc. Inv Rel: Y Addr: At various addresses on file with the firm Nature: Retail Sales Position: Passive Investor Start Date: Various start dates on file with the firm No. Hr/Mo: 16 No. Hr/Mo During Sec Trading: 16 Duties: Grocery Store. (10)Name: Brothers Ace 4, LLC, Inv Rel: N Addr:1317 North John Wayne Dr Winterset IA 50273, Nature: Hardware Store, Position: Member Manager, Start: 6/1/2025, No Hr/Mo: 1 No Hr/Mo Dur Trading: 1 Duties: Owner (11) NAME: DeVries Properties 17, LLC INV REL: Y ADD: 640 Cedar St, Tipton IA 52772 NATURE: Rental Real Estate POSITION: Owner START DATE: 12/01/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: Owner (12) NAME: Brothers Market 17, LLC INV REL: N ADD: 610 Cedar St, Tipton IA 52772 NATURE: Grocery store POSITION: Owner START DATE: 12/01/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: Owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2003-08-22 |
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