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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-08-10 |
Branch Locations
8044 Montgomery Road Suite 620, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Cincinnati | OH | 09/2015 | 10/2020 |
| Pruco Securities Llc | Cincinnati | OH | 09/2015 | 10/2020 |
| Nylife Securities Llc | Cincinnati | OH | 11/2020 | 07/2025 |
| New York Life Insurance Co. | Cincinnati | OH | 10/2020 | 07/2025 |
| Eagle Strategies Llc | Cincinnati | OH | 02/2022 | 07/2025 |
| Principal Life Insurance Company | Sharonville | OH | 07/2025 | 08/2026 |
| Principal Securities, Inc. | Sharonville | OH | 07/2025 | 08/2026 |
| Mml Investors Services, Llc | Cincinnati | OH | 08/2026 | Present |
| Massmutual Life Insurance Company | Cincinnati | OH | 07/2026 | Present |
NAME: MILLER STOCKUM AMERICAN LEGION POST 485 INV REL: Y ADD: 29 E STATE RD CLEVES, OH 45002 NATURE: VETERANS ORGANIZATION POSITION: COMMANDER START DATE: 06/15/2015 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: RUN MONTHLY MEETINGS, MAKE DECISIONS ON MAINTENANCE OF BUILDING AND ACTIVITIES IN THE COMMUNITY (2) NAME: MIAMI TOWNSHIP INV REL: Y ADD: 3780 SHADY LN NORTHBEND OH 45052 NATURE: TRUSTEE POSITION: TRUSTEE START DATE: 01/01/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ELECTED OFFICIAL THAT PROVIDES GUIDANCE FOR SAFETY DIVISION OF FIRE AND POLICE, ROAD MAINTENANCE, CEMETARY
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-04-15 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-15 |
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