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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2017-03-25 |
Branch Locations
6 Corporate Drive, Shelton, CT 06484 • United States
Milford, CT • 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 |
|---|---|---|---|---|
| Metlife Securities Inc | Shelton | CT | 05/2011 | 03/2017 |
| Mml Investors Services, Llc | Shelton | CT | 03/2017 | Present |
| Massachusetts Mutual Life Insurance Co | Shelton | CT | 03/2017 | Present |
(1) NAME: GW LIFE LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: OUTSIDE INSURANCE BUSINESS POSITION: INDEPENDENT INSURANCE AGENT START DATE: 09/2012 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: LIFE, ACCIDENT, HEALTH, AND PROPERTY & CASUALTY. (2) NAME: BARNUM INFORCE INSIGHTS (BII / B2) INV REL: Y ADD: 6 CORPORATE DRIVE SHELTON CT 06484 NATURE: CONSULTING - SOFTWARE FOR FINANCIAL ADVISORS POSITION: OWNER START DATE: 2/1/2021 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING:0 DESCRIBE DUTIES: PROVIDE GUIDANCE ON VISION AND STRATEGY AND ASSISTS PARTNERS ON SALES OPPORTUNITIES. (3) NAME: GREGORY WACHTER INV REL: Y ADD: 6 CORPORATE DRIVE, SHELTON CT 06484 NATURE: OUTSIDE INSURANCE SALES - LIFE INSURANCE, DISABILITY, LTC, FIXED ANNUITY AND HEALTH POSITION: INDEPENDENT INSURANCE AGENT START DATE: 12/05/2022 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: SALES, SERVICE OF OUTSIDE INSURANCE. (4) NAME: CJA FOUNDATION INV REL: N ADD: 254 TUNXIS RD., WEST HARTFORD CT 06107 NATURE: CHARITABLE FOUNDATION POSITION: FOUNDER & BOARD MEMBER START DATE: 09-15-24 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: COMMITTEE MEETING FOR PLANNING EVENTS. (5) NAME: GREGORY WACHTER INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: LIFE SETTLEMENTS POSITION: AGENT START DATE: 09-15-2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: ASSIST CUSTOMERS WITH THE SALE OF LIFE POLICES TO A LIFE SETTLEMENT COMPANY. (6) NAME: RISK & INSURANCE ASSOCIATES INV REL: Y ADD: 6 CORPORATE DRIVE, SUITE 503, SHELTON, CT 06484 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 02/01/2016 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 10 DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, HEALTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 2011-06-01 |
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