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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-11-09 |
| NJ | RA | APPROVED | 2017-03-25 |
| PA | RA | APPROVED | 2017-03-25 |
Branch Locations
16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States
Boca Raton, FL • 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 |
|---|---|---|---|---|
| Metlife Securities Inc. | Newtown | PA | 01/2015 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Newtown Square | PA | 07/2016 | Present |
| Mml Investors Services, Llc | Newtown Square | PA | 03/2017 | Present |
(1)NAME: CHARLES DOWDS INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH, DISABILITY, FIXED ANNUITIES, AND LTC POSITION: AGENT START: 10/2013 NO HRS: 1 NO HRS DUR TRADING: 1. (2)NAME: Charles J Dowds, III INV REL: Y ADD: Residential NATURE: Trustee POSITION: Trustee START DATE: 2010 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 (3) NAME: CHARLES DOWDS INV REL: Y ADD: 16 CAMPUS BLVD. NEWTOWN SQUARE, PA 19073 NATURE: LIFE SETTLEMENTS POSITION: AGENT START DATE: 03/15/2022 No. HR/MO: 1. No. HR/MO DURING SEC TRADING: 1. DESCRIBE DUTIES: LIFE SETTLEMENTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-15 |
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