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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2013-03-15 |
| PA | RA | APPROVED | 2010-06-21 |
Branch Locations
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 |
|---|---|---|---|---|
| Mml Investors Services | Exton | PA | 03/1996 | Present |
| Massmutual | Exton | PA | 03/1996 | Present |
(1) NAME: DANIEL P BATTY INV REL: Y ADDR:@ RESIDENTIAL ADDRESS ON RECORD, NATURE: NONMMLIA INSURANCE BROKERAGE POSITION: AGENT START DATE: 10/1/1995 NO. HR/MO: 40 NO. HR/MO DURING SEC TRADING: 20 DESCRIBE DUTIES: INDIVIDUAL AND GROUP LIFE & HEALTH, IND DISABILITY / SECTION 125 / COBRA / HRA PLANS THROUGH ADMINISTRATOR CALLED TASC (2 )NAME: DANIEL P BATTY INV REL: Y ADD: @ RESIDENTIAL ADDRESS ON RECORD NATURE: LIFE AND HEALTH INSURANCE SALES POSITION: SALES START DATE: 01/01/2012 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 1 (3) NAME: DANIEL BATTY, INV REL:Y ADDR: @ RESIDENTIAL ADDRESS ON RECORD, NATURE: RENTAL PROPERTY, POSITION: CONDO OWNER START: 1/7/22, NO HR/MO:4 NO HR/MO DUR TRADING:0, DUTIES: 2ND HOME THAT I CAN RENT OUT FOR SEASON. (4)NAME: THE CONODOGUINET CLUB, LLC, INV REL:Y ADDR: 100 STERLING PLACE, SUITE G17, MECHANICSBURG PA 17050 NATURE:GOLF SIMULATOR LOCATION, POSITION:MEMBER START: 7/15/2022, NO HR/MO: 1 NO HR/MO DUR TRADING:1, DUTIES: INVESTOR. (4) NAME: UFG ADVISORS, LLC DBA UFG ADVISORS INV REL: Y ADD: 111 EAST UWCHLAN AVE, EXTON, PA 19341 NATURE: FINANCIAL SERVIES POSITION: PRESIDENT START DATE: 05/02/2024 NO. HR/MO: 3 NO. HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: EXPENSES RELATED TO THE DBA, SUCCESSION PLAN FOR UFG ADVISORS TEAM
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-08-04 |
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