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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-20 |
| MO | RA | APPROVED | 2021-03-24 |
Branch Locations
3253 E Chestnut Expressway #13 Suite 401, Springfield, MO 65802 • 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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Springfield | MO | 08/2013 | 01/2021 |
| Northwestern Mutual Investment Services, Llc | Springfield | MO | 09/2013 | 01/2021 |
| Northwestern Mutual Wealth Management Company | Springfield | MO | 08/2013 | 01/2021 |
| Massmutual Life Insurance Co | Springfield | MO | 01/2021 | Present |
| Mml Investors Services, Llc | Springfield | MO | 01/2021 | Present |
1) NAME: CHUCK DOW - BORROW MY ANGEL INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: NONPROFIT ORGANIZATION POSITION: FOUNDER/BOARD PRESIDENT START: 07/2018 NO HRS/MO: 3 NO HRS/MO DUR TRADING: 3 DUTIES: OVERSEE THE ORGANIZATION & HELP GUIDE THE MISSION ON THE NONPROFIT. 2) NAME: COMMUNITY FOUNDATION OF THE OZARKS - GENEROSITY COLLECTIVE INV REL: N ADD: 425 E. TRAFFICWAY ST., SPRINGFIELD MO 65806 NATURE: CHARITABLE GIVING CIRCLE POSITION: BOARD MEMBER START DATE: 01/01/2024 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: ADVISORY BOARD FOR THE ORGANIZATION
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-30 |
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