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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-19 |
| NC | RA | APPROVED | 2019-05-06 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
Marvin, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services Llc | Charlotte | NC | 12/2015 | Present |
| Hf Financial | Charlotte | NC | 05/2015 | 07/2017 |
| Spaugh Dameron Tenny | Charlotte | NC | 07/2017 | Present |
(1) NAME: SPAUGH DAMERON TENNY LLC INV REL: Y ADD: 4350 CONGRESS ST, STE 300, CHARLOTTE, NC 28209 NATURE/DUTIES: OWNER OF LLC FOR PASS THROUGH COMPENSATION POSITION: OWNER START DATE: 01/01/2026 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-09 |
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