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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-12-19
NC RA APPROVED 2019-05-06
  • TX RA
    APPROVED
    Since 2022-12-19
  • NC RA
    APPROVED
    Since 2019-05-06

Branch Locations

4350 Congress Street Suite 300, Charlotte, NC 28209 • United States

Marvin, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 12/2015 → Present
    Charlotte, NC
  • 05/2015 → 07/2017
    Hf Financial
    Charlotte, NC
  • 07/2017 → Present
    Spaugh Dameron Tenny
    Charlotte, NC
Other Businesses

(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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-09
  • S66 Uniform Combined State Law Examination
    2017-11-09
Designations

View on SEC IAPD

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