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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 01/2013 | 04/2019 |
| Mass Mutual Life Insurance Company | Worcester | MA | 06/2018 | Present |
| Mml Investors Services | Worcester | MA | 04/2019 | Present |
1) Name: Thomas Valentine, Inv rel: Y, Add: 645 Chandler St. Worcester, MA. 01602, Nature: Life insurance sales, Position: Sales, Start date: 4/15/2019, No. HR/MO: 5, No. HR/MO during sec trading: 5 2) NAME: Wachusett Warriors Baseball, INV REL: N, ADD: At Residential Address, NATURE: Travel Baseball Program, POSITION: Director, START DATE: 04/01/2026, NO. HR/MO: 15, NO. HR/MO DURING SEC TRADING: 1, DUTIES: Run program, Oversee coaches' communications, Order uniforms, Schedule practice and events, Coach team
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-07-15 |
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