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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-03-09 |
| ND | RA | APPROVED | 2017-09-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services, Llc | Fargo | ND | 10/2012 | Present |
| Massmutual Life Insurance Company | Fargo | ND | 10/2012 | Present |
(1) NAME: ALIGN FINANCIAL INV REL: Y ADD: 3186 SIENNA DR. S, FARGO, ND 58104 NATURE: OUTSIDE INSURANCE POSITION: SALES START DATE: 7/2015 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, AND HEALTH. (2) NAME: LADS, LLC INV REL: Y ADD: 5195 45TH ST S, SUITE 200 FARGO ND 58104 NATURE: COMMERCIAL RENTAL SPACE LANDLORD POSITION: SECRETARY START DATE: 06/24/2022 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: ASSIST WITH RUNNING THE DAY-TO-DAY OPERATIONS OF BUILDING. (3) NAME: ALIGN FINANCIAL, LLC INV REL: Y ADD: 3186 SIENNA DRIVE S. FARGO, ND 58104 NATURE: BANK REFERRAL POSITION: REFERRER START DATE: 01/09/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: REFER POTENTAIL CLIENTS FOR BUSINESS LENDING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-31 |
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