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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-06-27
NC RA APPROVED 2023-06-09
  • TX RA
    APPROVED
    Since 2023-06-27
  • NC RA
    APPROVED
    Since 2023-06-09

Branch Locations

7930 W Kenton Circle Suite 250, Huntersville, NC 28078 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 07/2014 04/2023
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2016 04/2023
Northwestern Mutual Investment Services, Llc Hunterville NC 06/2014 03/2023
Massmutual Life Insurance Co Huntersville NC 04/2023 Present
Mml Investors Services, Llc Huntersville NC 04/2023 Present
  • 07/2014 → 04/2023
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/2016 → 04/2023
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 06/2014 → 03/2023
    Northwestern Mutual Investment Services, Llc
    Hunterville, NC
  • 04/2023 → Present
    Massmutual Life Insurance Co
    Huntersville, NC
  • 04/2023 → Present
    Huntersville, NC
Other Businesses

(1) Name: Thrive Financial Partners, LLC Inv Rel: Y Add: At residential address Nature: This is a DBA for her business. It will pay for staff and office expenses eventually Position: CEO Start Date: 05/02/2023 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0 Duties: This is only for if/when take over payroll for the office. (2) Name: Thrive Financial Partners-Lynn Bowser Inv Rel: Y Add: 1175 Pittsford-Victor Rd, Suite 110 Pittsford NY 14534 Nature: Outside Insurance Position: Financial Advisor Start Date: 07/13/2023 No. Hr/Mo: 3 No. Hr/Mo During Sec Trading: 1 Duties: Disability, Long-term Care and Fixed annuities. (3) Name: LMP Consulting LLC, DBA Elevate Strategy and Consulting, Inv Rel: N Add: At residential address Nature: Consulting/Coaching and Mentoring Position: Founding Partner Start Date: 10/05/2023 No. Hr/Mo: 12 No. Hr/Mo During Sec Trading: 0 Duties: Coaching and mentoring other business professionals on business and professional growth. (4) Name: Divergent Racing LLC Inv rel: N Add: 100 Sterling Parkway, Suite G17, Mechanicsburg, PA 17050 Nature: Racehorse Owner Position: Member/Owner Start date: 01/13/2026 No. HR/MO: 0 No. HR/MO during sec trading: 0 Describe duties: Passive Owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-01
S63 Uniform Securities Agent State Law Examination 2015-05-30
  • S65 Uniform Investment Adviser Law Examination
    2023-06-01
  • S63 Uniform Securities Agent State Law Examination
    2015-05-30
Other Names
  • Lynn-Marie Mildred Nieman
  • Lynn Marie Bowser

View on SEC IAPD

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