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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-25 |
| RI | RA | APPROVED | 2020-10-02 |
Branch Locations
1 Marina Park Drive Ste 1600, Boston, MA 02210-1832 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade | Newton Highlands | MA | 06/2016 | 12/2016 |
| Guardian Life Insurance Company | Needham | MA | 04/2017 | 06/2017 |
| Park Avenue Securities, Llc | Needham | MA | 03/2017 | 06/2017 |
| Axa | Concord | MA | 09/2017 | 06/2020 |
| Equitable Advisors, Llc | Concord | MA | 06/2017 | 10/2020 |
| Mass Mutual Life Insurance Company | Boston | MA | 10/2020 | Present |
| Mml Investors Services, Llc | Boston | MA | 10/2020 | Present |
(1) Name: Pearson and Wallace Insurance Inv rel: Y Add: 11 Amity St Amherst MA 01002 Nature: Property and Casualty Insurance Position: Agent Start date: 10/01/2020 No. HR/MO: 5 No. HR/MO during sec trading: 0 (2) Name: Nicholas Ferbert Inv rel: Y Add: At Residential Address Nature: Outside Insurance Sales Position: Insurance Broker Start date: 12/01/2024 No. HR/MO: 1 No. HR/MO during sec trading: 1 Duties: Disability
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-08-26 |
| S65 | Uniform Investment Adviser Law Examination | 2014-04-11 |
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