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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-27 |
| NC | RA | APPROVED | 2023-06-09 |
Branch Locations
7930 W Kenton Circle Suite 250, Huntersville, NC 28078 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-30 |
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