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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
38 Broad St, Hamilton, NY 13346 • United States
Hamilton, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc. | Norwich | NY | 01/2015 | 03/2017 |
| Massmutual Life Insurance Co | Hamilton | NY | 07/2016 | Present |
| Mml Investors Services, Llc | Hamilton | NY | 03/2017 | Present |
1) Name: HFP Realty LLC Inv rel: Y Add: At Residential Address Nature: Simple Rental Property Position: Managing Member of LLC Start date: 01/01/2018 No. HR/MO: 10 No. HR/MO during sec trading: 5 Describe duties: Management of rental property 2) Name: Hearth Financial Partners Inv rel: Y Add: 38 Broad St Hamilton NY 13346 Nature: NON MMLIA Insurance Brokerage Position: Financial Advisor Start date: 01/01/2015 No. HR/MO: 5 No. HR/MO during sec trading: 5 Describe duties: sales with outside brokerage company 3) Name: Alexandra Erath Inv rel: Y Add: At Residential Address Nature: Simple Rental Property Position: Homeowner Start date: 04/01/2012 No. HR/MO: 6 No. HR/MO during sec trading: 1 Describe duties: Short-term rentals of rooms in personal residence, as well as the entire home a few times per year for special events. 4) Name: Brass Rings Tools Inv rel: Y Add: At Residential Address Nature: Seminar Consulting Position: Consultant Start date: 03/01/2019 No. HR/MO: 8 No. HR/MO during sec trading: 8 Describe duties: Working as a consultant with Brass Rings Tools to put on seminars about business growth and development strategies for financial advisors 5) A.C. Erath Consulting, Inv Rel: Y Addr: 38 Broad Street, Hamilton NY 13346, Nature: Consulting, Position: Owner, Start: 4/24/2024, No Hr/Mo: 5 No Hr/Mo Dur Trading: 5, Duties: Assisting small family businesses with family and business issues such as continuation and mediation between family and business owners.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-09-20 |
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