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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-07-29 |
| PA | RA | APPROVED | 2010-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services | Exton | PA | 10/1994 | Present |
| Massmutual | Springfield | MA | 10/1994 | Present |
1)NAME: EDMUND J. DRACUP INV REL: Y ADD: 111 E. Uwchlan Ave Exton PA 19341 NATURE: Health, Group Life, Group Health POSITION: SALES START: 09/01/1995 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5. 2)Name: UFG Advisors, LLC dba UFG Advisors, INV REL: Y ADD: 111 E Uwchlan Ave Exton PA 19341, NATURE: Financial Services, POSITION: Vice President, START:5/2/2024, NO HR/MO: 3 NO HR/MO DURING SEC TRADING: 3 DUTIES: expenses related to the DBA, succession plan for UFG Advisors Team. 3) Top Rail Equine, LLC, Inv Rel: Y Add: @ residential address on file, Nature: Equine: Purchase/Sale, Training, Leasing, Boarding, Transportation, Position: Member, Start: 10/22/2024, No Hr/Mo:20 No Hr/Mo Dur Trading:0 Duties: Purchase, sale and lease horses and ponies. Hire barn manager to oversee all operations of barn including finances.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-10 |
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