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51 Madison Avenue 12Th Floor, New York, NY 10010 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-09-01 |
Branch Locations
320 Morrison Park Dr Suite 100, Southlake, TX 76092-1357 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Irving | TX | 11/2017 | 03/2021 |
| Northwestern Mutual Investment Services Llc | Little Rock | AR | 11/2015 | 11/2017 |
| Northwestern Mutual Life Insurance Company | Irving | TX | 12/2015 | 03/2021 |
| Northwestern Mutual Wealth Management Company | Irving | TX | 03/2019 | 03/2021 |
| Mass Mutual Life Insurance Co | Southlake | TX | 02/2021 | 07/2023 |
| Mml Investors Services, Llc | Southlake | TX | 03/2021 | 07/2023 |
| New York Life Insurance Company | Frisco | TX | 08/2023 | Present |
| Nylife Securities Llc | Frisco | TX | 08/2023 | Present |
| Eagle Strategies Llc | Frisco | TX | 09/2023 | Present |
| Encompass Financial & Associates, L.L.C. | Southlake | TX | 05/2024 | Present |
[Hena Wealth Management Group, LLC (Dormant); This business is dormant; 320 Morrison Park Drive Suite 100 Southlake, Texas 76092; Start Date: 08/2021; Role/Title: Owner; Not investment related; 0 hours per month; 0 hours per month during securities trading hours; This business is dormant] [Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 2600 Network Blvd Suite 130 Frisco, Texas 75034; Start Date 08/2023; Role/Title: Insurance Broker; Investment Related; 20 hours per month; 10 hours per month during securities trading hours; broker non NYL products.] [OPERATING UNDER THE DBA NAME OF ENCOMPASS FINANCIAL & ASSOCIATES, L.L.C. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; (OWNER); (SOUTHLAKE, TX); START DATE: 05/2024]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-02 |
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