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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-27 |
| FL | RA | APPROVED | 2016-04-29 |
Branch Locations
4830 W. Kennedy Blvd Suite 800, Tampa, FL 33609-2557 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Tampa | FL | 03/2005 | Present |
| Mml Investors Services | Tampa | FL | 03/2005 | Present |
(1) NAME: NATIONAL PEDIATRIC CANCER FOUNDATION INV REL:Y ADDR: 5550 EXECUTIVE DR #300 TAMPA FL 33609 NATURE: BOARD MEMBER FOR THE NATIONAL PEDIATRIC CANCER FOUNDATION POSITION: BOARD MEMBER START: 01/01/2019 NO HRS/MO: 4 NO HRS/MO DUR TRADING: 1. (2) NAME:LEGACY PROPERTY GROUP, LLC, INV REL:Y ADDR: 4830 W KENNEDY BLVD #800 TAMPA FL 33609, NATURE:REALTOR/REAL ESTATE, POSITION:OWNER START: 10/01/2020, NO HR/MO: 2 NO HR/MO DUR TRADING:0 (3) NAME: LEGACY RACING, LLC INV REL: Y ADDR: 4830 W. KENNEDY BLVD #800 TAMPA FL 33609 NATURE: MANAGING PARTNER OF ENTITY THAT BUYS AND SELLS RACE HORSES POSITION: OWNERSHIP START: 06/29/2020 NO HRS/MO: 4 NO HRS/MO DUR TRADING: 0. (4) NAME: WOODFORD RACING, LLC INV REL: Y ADDR: 5950 CANOGA BLVD SUITE 510 WOODLAND HILLS, CA 91367 NATURE: LIMITED PARTNER IN LLC'S THAT BUY AND SELL HORSES POSITION: OWNERSHIP START: 11/08/2018 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0. (5) NAME:THE ANNEX CLUB, INV REL:Y ADDR:3017 W BAY VISTA AVE TAMPA FL 33611 NATURE: GOLF CLUB POSITION:PARTNER START: 11/15/2020 NO HR/MO:2 NO HR/MO DUR TRADING:0 (6) NAME: PDL HOLDINGS, LLC, INV REL: Y ADDR: 3300 HENDERSON BLVD, #206A, TAMPA FL 33609, NATURE: ENTITY THAT OWNS A TRANSPORTATION ASSET FOR BUSINESS USE. POSITION: LIMITED PARTNER, START: 8/11/2023, NO HR/MO: 1 NO HR/MO DUR TRADING:0 DUTIES: OWNERSHIP OF THE ASSET. (7) NAME: LEGACY RACING,LLC-TRAVERS LLC, INV REL: Y ADD: 4830 W KENNEDY BLVD, SUITE 800 TAMPA FL 33609, NATURE: RACE HORSE OWNERSHIP, POSITION: MANAGING PARTNER, START:06/01/2024, NO HR/MO:1 NO HR/MO DUR TRADING:0, DUTIES:MANAGE HORSES-PURCHASE, HIRE TRAINERS, SELL HORSES AS OPPORTUNITIES ARISE. (8) NAME:LEGACY RACING -VEKOMA LLC, INV REL: Y ADDR: @ RESIDENTIAL ADDRESS ON FILE, NATURE: RACE HORSE OWNERSHIP, POSITION: MANAGING PARTNER, START: 5/1/2025, NO HR/MO: 1 NO HR/MO DUR TRADING: 0 DUTIES: SAME AS PREVIOUSLY APPROVED OBA, LEGACY RACING LLC, MANAGE HORSE, PURCHASE , HIRE TRAINERS AND SELL HORSES AS OPPORTUNITY ARISES. (9) NAME:LEGACY RACING-NYQUIST LLC, INV REL:Y ADD: @ RESIDENTIAL ADDRESS ON FILE NATURE: RACE HORSE OWNERSHIP, POSITION: MANAGING PARTNER, START:8/17/2022, NO HR/MO:1 NO HR/MO DUR TRADING:0 DUTIES: MANAGE HORSE-PURPOSE IS NOW BREEDING. (10) NAME:LEGACY RACING COCO LLC, INV REL: N ADD: RESIDENTIAL ADDRESS NATURE: RACE HORSE OWNERSHIP POSITION: MANAGING PARTNER START DATE: 10/01/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MANAGE HORSE - PURCHASE, HIRE TRAINERS, & SELL HORSE AS OPPORTUNITY ARISES. (11) NAME: LEGACY RACING - FATHER RICK, LLC INV REL: N ADD: RESIDENTIAL ADDRESS NATURE: RACE HORSE OWNERSHIP POSITION: MANAGING PARTNER START DATE: 04/01/2026 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MANAGE RACE HORSE OWNERSHIPS IN PARTNERSHIP (12)NAME:LEGACY RACING-WHITNEY, LLC, INV REL:Y ADD: @RESIDENTIAL ADDRESS ON FILE, NATURE:RACE HORSE OWNERSHIP, POSITION: MANAGING PARTNER, START: 4/1/2026 NO HR/MO: 1 NO HR/MO DUR TRADING:0 DUTIES: MANAGE RACE HORSE OWNERSHIP IN PARTNERSHIP.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-06 |
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