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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-02-06
  • MN RA
    APPROVED
    Since 2019-02-06

Branch Locations

100 South Fifth Street Suite 2300, Minneapolis, MN 55402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
American Enterprise Investment Services Inc. Minneapolis MN 10/2009 03/2018
Ameriprise Financial Minneapolis MN 10/2009 03/2018
Northwestern Mutual Life Insurance Company Minnetonka MN 02/2018 01/2019
Northwestern Mutual Investment Services Llc Minnetonka MN 02/2018 01/2019
Massmutual Life Insurance Co Minneapolis MN 01/2019 Present
Mml Investors Services, Llc Minneapolis MN 01/2019 Present
  • 10/2009 → 03/2018
    American Enterprise Investment Services Inc.
    Minneapolis, MN
  • 10/2009 → 03/2018
    Ameriprise Financial
    Minneapolis, MN
  • 02/2018 → 01/2019
    Northwestern Mutual Life Insurance Company
    Minnetonka, MN
  • 02/2018 → 01/2019
    Northwestern Mutual Investment Services Llc
    Minnetonka, MN
  • 01/2019 → Present
    Massmutual Life Insurance Co
    Minneapolis, MN
  • 01/2019 → Present
    Minneapolis, MN
Other Businesses

(1)NAME: STEINHAUER INSURANCE, LLC INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: INDIVIDUAL LIFE POSITION: AGENT START: 06/17/2019 NO/HRS: 20 NO/HRS DUR TRADING: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-01-25
S63 Uniform Securities Agent State Law Examination 2018-04-12
  • S65 Uniform Investment Adviser Law Examination
    2019-01-25
  • S63 Uniform Securities Agent State Law Examination
    2018-04-12
Other Names
  • David M Hogen
  • David Hogen

View on SEC IAPD

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