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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-02 |
| WA | RA | APPROVED | 2019-10-28 |
Branch Locations
7853 Se 27Th St Ste 285, Mercer Island, WA 98040 • United States
Port Ludlow, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 12/2013 | 05/2017 |
| Mml Investors Services Llc | Phoenix | AZ | 12/2013 | 05/2017 |
| Charles Schwab Bank | Phoenix | AZ | 05/2017 | 11/2018 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 05/2017 | 11/2018 |
| Morgan Stanley | Gilbert | AZ | 11/2018 | 08/2019 |
| Massmutual Life Insurance Co | Mercer Island | WA | 09/2019 | Present |
| Mml Investors Services, Llc | Mercer Island | WA | 09/2019 | Present |
NAME: SRG1998, LLC INV REL: Y ADD: 7853 SE 27TH STREET # 285, MERCER ISLAND, WA 98040 NATURE: THIS IS A PASSTROUGH LLC I AM USING FOR MY MMLIS ADVISORY BUSINESS ONLY POSITION: STAFF START DATE: 05/25/2023 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: THIS IS A PASSTROUGH LLC I AM USING FOR MY MMLIS ADVISORY BUSINESS ONLY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-10 |
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