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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-10-27 |
| NY | RA | APPROVED | 2021-04-15 |
Branch Locations
120 White Plains Road Suite 601, Tarrytown, NY 10591 • United States
Pomona, NY • United States
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 |
|---|---|---|---|---|
| Foresters Financial Corporation | Nanuet | NY | 07/2015 | 06/2019 |
| Foresters Advisory Services | Nanuet | NY | 12/2017 | 06/2019 |
| Massmutual Life Insurance Company | Tarrytown | NY | 05/2019 | Present |
| Mml Investors Services, Llc | Tarrytown | NY | 06/2019 | Present |
(1)NAME: Raymond Charles Capital INV REL: Y ADD: @ Residential NATURE: Financial POSITION: President START DATE: 11/14/2019 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: S Corp for tax purposes. (2)NAME: Christopher Fields, INV REL: Y ADD: @ Residential NATURE: Outside Insurance, POSITION: Sales, START DATE: 6/9/2023, NO HR/MO: 1 NO HR/Mo DURING TRADING: 1 DUTIES: Life, Long-term care, Fixed Annuities & Health.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-02-26 |
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