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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-11-22 |
Branch Locations
30 S Wacker Drive Suite 2700, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Lincoln Financial Advisors | Chicago | IL | 05/2006 | 12/2016 |
| Unemployed | Chicago | IL | 12/2016 | 02/2017 |
| Mml Investors Services | Chicago | IL | 04/2019 | Present |
| Mml Investors Services, Llc | Chicago | IL | 03/2017 | 04/2017 |
| Mass Mutual Life Insurance Company | Chicago | IL | 02/2017 | Present |
Name: Michael Mock Inv rel: Y Add: Residential address Nature: Outside Insurance Sales Position: Insurance Broker Start date: 11/2009 No. HR/MO: 10 No. HR/MO during sec trading: 5 Describe duties: Health (2) Name: Michael Mock LLC Inv Rel: Y Add: 30 S Wacker Dr Suite 2700 Chicago IL 60606 Nature/Duties: Owner of LLC for pass through Compensation Position: Owner Start Date: 5/1/2026 No Hrs/Mo: 50 No Hrs/Mo During Sec Trading: 40
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-11 |
| S65 | Uniform Investment Adviser Law Examination | 2006-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-28 |
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