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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-12-10 |
| WA | RA | APPROVED | 2015-07-23 |
Branch Locations
7853 Se 27Th St Ste 285, Mercer Island, WA 98040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services Llc | Seattle | WA | 01/2015 | Present |
| Smith Richards Group/ Mass Mutual | Seattle | WA | 04/2013 | Present |
1) NAME: SRG1998, LLC INV REL: Y ADD: 7853 SE 27TH ST STE 285, MERCER ISLAND, WA 98040-2897 NATURE: MANAGING MEMBER OF LLC FOR PASS THROUGH COMPENSATION POSITION: MANAGING MEMBER START DATE: 01/01/2022 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5 DESCRIBE DUTIES: MANAGING MEMBER OF LLC FOR PASS THROUGH COMPENSATION
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-06-01 |
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