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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-06-05 |
Branch Locations
1305 Campus Parkway, Wall Township, NJ 07753 • 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 |
|---|---|---|---|---|
| Tfs Securities, Inc. | Spring Lake Heights | NJ | 02/1996 | 05/2018 |
| The Investment Center Inc | Spring Lake Heights | NJ | 05/2018 | 06/2023 |
| Ic Advisory Services Inc | Spring Lake Heights | NJ | 05/2018 | 06/2023 |
| Mass Mutual Life Insurance Co | Wall Townhip | NJ | 05/2023 | Present |
| Mml Investors Services, Llc | Wall Townhip | NJ | 04/2023 | Present |
(1) NAME: CARMINE BRADY FOUNDATION INV REL: N ADD: 1626 OSPREY RD., POINT PLEASANT, NJ 08736 NATURE: NON PROFIT CHARITABLE ORGANIZATION POSITION: BOARD MEMBER START DATE: 10/01/2007 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: OCCASIONAL MEETINGS AND VOTING MEMBER FOR DONATIONS FOR RECIPIENTS (2) NAME: LMO FOR UNITED MORTGAGE CORP. INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: LICENSED MORTGAGE ORGINATOR SUBMITTING NEW LOANS POSITION: LMO START DATE: 05/06/2018 NO. HR/MO: 1-2 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: ACCEPT NEW HOME PURCHASE OR REFINANCE APPLICANTS AND HAND THEM OFF TO UNITED MORTGAGE CORP. AND HELP SERVICE CLIENT IF NEEDED (3) NAME: RWC INV REL: Y ADD: 1305 CAMPUS PKWY., WALL TOWNSHIP, NJ 07753 NATURE: OUTSIDE INSURANCE POSITION: FSR START DATE: 07/01/2023 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: LIFE, EQUITY FIXED LIFE & FIXED ANNUITIES (4) NAME: MIDLAND ANNUITIES INV REL: Y ADD: 1305 CAMPUS PARKWAY, WALL TOWNSHIP, NJ 07753 NATURE: OUTSIDE INSURANCE SALES POSITION: AGENT START DATE: 8/9/2023 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 2 DESCRIBE DUTIES: FIXED ANNUITIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-07 |
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