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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-10-21 |
| NC | RA | APPROVED | 2012-10-12 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
Waxhaw, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services, Llc | Charlotte | NC | 02/2007 | Present |
| Massmutual Life Insurance Co | Charlotte | NC | 12/2006 | Present |
(1) NAME: FIVE POINT BUSINESS ADVISORS INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: OTHER - COACHING & GOAL SETTING FOR BUSINESSES THAT NEED HELP WITH CONTINUITY AND SUCCESSION PLANNING POSITION: OWNERSHIP START: 3/20/2018 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 10. (2) NAME: LEE BOWMAN INV REL: Y ADDR: 4350 CONGRESS STREET, SUITE 300, CHARLOTTE, NC 28209 NATURE: OUTSIDE INSURANCE BUSINESS POSITION: AGENT START DATE: 9/13/2023 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DUTIES: LIFE, DISABILITY, LONG-TERM CARE
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-08-30 |
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