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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2018-06-05 |
Branch Locations
213 East Saint Joseph Street, Lansing, MI 48933 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Co | Okemos | MI | 03/2008 | 05/2018 |
| Nylife Securities Llc | Okemos | MI | 04/2008 | 05/2018 |
| Signator Investors, Inc. | Haslett | MI | 12/2015 | 05/2018 |
| Smalley Investments | Lansing | MI | 05/2018 | Present |
| Commonwealth Financial Network | Waltham | MA | 05/2018 | Present |
1. Fixed insurance sales; as of 05/18/2018; Approximately 1%time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-27 |
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