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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-03 |
| 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
Glen Mills, PA • 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 |
| Massmutual Life Insurance Co | Newtown Square | PA | 07/2016 | Present |
| Mml Investors Services, Llc | Newtown Square | PA | 03/2017 | Present |
(1)NAME: RIOGHAL LLC INV REL: Y ADDR: 401 MAIN ST CHESTERTOWN MD 21610 NATURE: RENTAL REAL ESTATE POSITION: OWNERSHIP/AGENT START: 06/01/2017 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1. (2)NAME: KEITH LECKY INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: INDIVIDUAL LIFE, HEALTH, GROUP LIFE, GROUP HEALTH, & GROUP DI POSITION: SALES/AGENT START: 06/01/2017 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1. (3) NAME: LANCASTER COUNTY BUILDING ASSOCIATION FOUNDATION INV REL: N ADD: 204 BUTLER AVE, STE. 200, LANCASTER PA 17601 NATURE: BUILDING FOUNDATION THAT GIVES TRADE SCHOOL SCHOLARSHIP POSITION: TREASURER START DATE: 01/01/2024 NO. HR/MO: 4HR / YR. NO. HR/MO DURING SEC TRADING: : 4HR / YR. DESCRIBE DUTIES: READ FINANCIALS AT BOARD MEETINGS (4) NAME: KLAKS, LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: OWNER OF LLC FOR PASS THROUGH COMPENSATION POSITION: PRESIDENT START DATE: 01/01/2024 NO. HR/MO: 3 NO. HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: RECEIVE COMPENSATION AND PAY BUSINESS EXPENSES
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-10-14 |
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