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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2016-05-18 |
Branch Locations
6263 N Scottsdale Rd Suite 140, Scottsdale, AZ 85250 • United States
Phoenix, AZ • 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 |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Scottsdale | AZ | 01/2013 | Present |
| Mml Investors Services Llc | Scottsdale | AZ | 02/2014 | Present |
1.) NAME: DAN MULLEN INV REL: Y ADD: 6263 NORTH SCOTTSDALE ROAD SUITE 140 SCOTTSDALE, AZ 85250 NATURE: INSURANCE AND INVESTMENT PRODUCTS POSITION: SALES AGENT START DATE: 3/13 NO. HR/MO: 160 NO. HR/MO DURING SEC TRADING: 160 DESCRIBE DUTIES: SALES AND SERVICE OF INSURANCE AND INVESTMENT PRODUCTS THROUGH VARIOUS CARRIERS 2.) NAME: DAN MULLEN- UBER INV REL: N ADD: RESIDENTIAL ADD NATURE: UBER DRIVER POSITION: INDEPENDENT CONTRACTOR START DATE: 5/28/2017 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 0 3.) NAME: PHOENIX CHILDREN'S HOSPITAL FOUNDATION ALLIED ADVISORY BOARD INV REL: N ADDR: 1919 E THOMAS RD., PHOENIX, AZ 85016 NATURE: VOLUNTEER ORGANIZATION FOR PCH FOUNDATION POSITION: BOARD MEMBER START DATE: 1/1/2022 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ACT AS RESOURCES TO THE PCH FOUNDATION AND ASSIST EXISTING AND NEW DONORS FIND THE BEST POSSIBLE WAY TO LEAVE A LEGACY GIFT TO THE HOSPITAL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-02 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-25 |
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