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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-05-20 |
| TX | RA | APPROVED | 2022-05-20 |
Branch Locations
120 White Plains Road Suite 100, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | New York | NY | 09/2010 | Present |
| Mml Investors Services, Llc | New York | NY | 01/2011 | 05/2022 |
| Royal Alliance Associates, Inc. | Tarrytown | NY | 05/2022 | Present |
NAME: DAVID HELLER / LENOX ADVISORS INV REL: Y ADD: 90 PARK AVENUE 18TH FLOOR NEW YORK NY 10016 NATURE: OUTSIDE INSURANCE POSITION: SALES AGENT START DATE: 04/2011 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 10 FIFTH AVENUE FINANCIAL POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2022 ADDRESS: 90 Park Ave, 17th Floor, New York NY 10016, United States DESCRIPTION: As a former career agent of Mass Mutual, I provide client service on any new and existing policies for current clients. SANDERS SMITH LTD POSITION: Managing Director NATURE: corporation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 05/23/2022 ADDRESS: 120 White Plains Rd., Tarrytown NY 10591, United States DESCRIPTION: Manage client assets through Royal Alliance Corporate RIA SS Limited is DBA name.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-10-01 |
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