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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-08-24 |
Branch Locations
14241 Dallas Parkway Suite 1200, Dallas, TX 75254 • United States
Princeton, TX • United States
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 |
|---|---|---|---|---|
| Massmutual Life Insurance Co | Dallas | TX | 08/2011 | Present |
| Mml Investors Services, Llc | Dallas | TX | 04/2013 | Present |
| Rise Restaurant | Dallas | TX | 06/2012 | Present |
| My Private Driver | Dallas | TX | 12/2012 | Present |
(1) NAME:CURTIS KLIEGER INV REL:Y ADDR:14241 DALLAS PARKWAY SUITE 1200 DALLAS TX 75254 NATURE:LIFE INSURANCE, HEALTH, GROUP LIFE, GROUP HEALTH, DISABILITY, POSITION:SALES/AGENT START:5/1/2013 NO HR/MO:6 NO HR/MO DUR TRADING:0 (2) NAME:CURTIS KLIEGER INV REL:Y ADDR:14241 DALLAS PARKWAY SUITE 1200 DALLAS TX 75254 NATURE:FIXED INSURANCE, POSITION:SALES/AGENT START:5/1/2013 NO HR/MO:6 NO HR/MO DUR TRADING:0. (3) NAME: THE CURTIS LEROY KLIEGER LIVING TRUST INV REL:Y ADDR: AT RESIDENTIAL ADDRESS NATURE: TO HOLD AND MANAGE REAL ESTATE BOTH RENTALS AND LAND POSITION: TRUSTEE START: 04/2020 NO HR/MO: 10 NO HR/MO DUR TRADING: 0 DESCRIBE DUTIES: TO MANAGE AND MAINTAIN REAL ESTATE INTEREST AND POTENTIAL LIABILITY AFFILIATED WITH THOSE INTEREST (4) NAME: STONEWATER FINANCIAL GROUP LLC INV REL: Y ADDR: 14241 DALLAS PARKWAY SUITE 1200 DALLAS TX 75254 NATURE: LLC OWNER POSITION: OWNER START: 04/2015 NO HR/MO: 40 NO HR/MO DUR TRADING: 10 DESCRIBE DUTIES: MANAGE AND MAINTAIN THE COMPANY BOOKS AND PAY STAFF AS WELL AS OTHER ADMINISTRATIVE BILLS. (5) NAME: THE ARC OF DFW INV REL: Y ADD: 1806 HALTOM RD HALTOM CITY, TX 76117 NATURE: SUPPORT PEOPLE WITH THE INTELLECTUAL AND DEVELOPMENT DISABILITIES POSITION: TREASURER START DATE: 01/01/2024 No. HR/MO: 2. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: HELP CREATE POLICY AND PROCEDURES WITHIN THE ORGANIZATION TO CREATE EFFICIENCY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 2012-03-23 |
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