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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-03-15
PA RA APPROVED 2010-06-21
  • TX RA
    APPROVED
    Since 2013-03-15
  • PA RA
    APPROVED
    Since 2010-06-21

Branch Locations

111 East Uwchlan Ave, Exton, PA 19341 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mml Investors Services Exton PA 03/1996 Present
Massmutual Exton PA 03/1996 Present
  • 03/1996 → Present
    Mml Investors Services
    Exton, PA
  • 03/1996 → Present
    Massmutual
    Exton, PA
Other Businesses

(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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-08-04
  • S63 Uniform Securities Agent State Law Examination
    1995-08-04
Designations

View on SEC IAPD

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