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7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-09-17 |
Branch Locations
7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617 • United States
2600 Neuse Blvd, New Bern, NC 28562 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Co | New Bern | NC | 09/2016 | Present |
| Mml Investors Services, Llc | New Bern | NC | 10/2016 | Present |
| Modern Capital Securities, Inc. | Raleigh | NC | 08/2024 | Present |
| Modern Capital Advisors, Llc | Raleigh | NC | 08/2024 | Present |
(1)NAME: SALTWATER INSURANCE SERVICES LLC INV REL: Y ADDR: 3402 TRENT RD NEW BERN NC 28562 NATURE: OTHER- OWN A P&C FIRM POSITION: OWNER START: 11/03/21 NO HRS/MO: 5 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: AGENTS EMPLOYED BY ME WILL CONDUCT THE BUSINESS. (2)NAME: GG POKEPALS INV REL: N ADDR: RESIDENTIAL ADDRESS NATURE: TRADING/SPORTS CARDS POSITION: OWNER START: 5/1/2023 NO HRS/MO: 10 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: BUY AND SELL POKEMON AND SPORTS CARDS FOR MY KIDS COLLECTIONS. (3)NAME: MM FINANCIAL GROUP, LLC INV REL: Y ADDR: 2600 NEUSE BLVD., NEW BERN, NC 28562 NATURE: CONDUCT FINANCIAL SERVICES PRACTICE POSITION: OWNER/FINANCIAL ADVISOR START: 1/1/2020 NO HRS/MO: 160 NO HRS/MO DUR SEC TRADING: 160
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-05 |
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