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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-07-10 |
| AL | RA | APPROVED | 2022-09-20 |
Branch Locations
3000 Riverchase Suite 750, Birmingham, AL 35244 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Hoover | AL | 09/2010 | 08/2022 |
| Northwestern Mutual Investment Services, Llc | Hoover | AL | 09/2010 | 08/2022 |
| Northwestern Mutual Wealth Management Company | Hoover | AL | 01/2016 | 08/2022 |
| Mml Investors Services, Llc | Birmingham | AL | 09/2022 | Present |
| Massmutual Life Insurance Company | Birmingham | AL | 07/2017 | Present |
1) NAME: HOPE FOR AUTUMN FOUNDATION INV REL: Y ADDR: 3722 CHALYBE WALK, HOOVER, AL 35226 NATURE: NON-PROFIT POSITION: TREASURER START: 06/03/2021 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0. 2) NAME: PIEDMONT INSURANCE BROKERAGE INV REL: Y ADD: 1050 CROWN POINTE PKWY, STE. 1800, ATLANTA GA 30338 NATURE: INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 01/01/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: SALES AND SERVICES INDIVIDUAL LIFE, Disability & LTC 3) NAME: VERITAS FINANCIAL PARTNERS, LLC INV REL: Y ADD: 3000 RIVERCHASE, STE 750, BIRMINGHAM, AL 35244 NATURE: OWNER OF LLC FOR PASS THROUGH COMPENSATION POSITION: PARTNER START DATE: 01/18/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: MONITORING THE LLC AS PASS-THROUGH ENTITY FOR EXPENSES AND PAYROLL
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-23 |
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