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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-29 |
| KS | RA | APPROVED | 2019-08-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Wichita | KS | 05/2014 | Present |
| Mml Investors Services Llc | Wichita | KS | 09/2014 | Present |
(1) NAME: CALEB KLEIN INV REL: Y ADD: 6530 E 13TH STREET NORTH, WICHITA, KS 67206 NATURE: IND LIFE INS, HEALTH INS, GRP LIFE/ HEALTH INS POSITION: SALES/AGENT START DATE: 05/2014 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5. (2) NAME: CALEB KLEIN INV REL: Y Add: 6530 E 13TH STREET NORTH, WICHITA, KS 67206 NATURE: FEE BASED INSURANCE ADVISOR POSITION: CONSULTANT START DATE4/2016 No. HR/MO: 5 No. HR/MO DUR TRADING: 5. (3) NAME: KLEIN HANNING FINANCIAL, LLC -BANK ACCOUNT INV REL: Y ADD: 6530 E 13TH STREET NORTH, WICHITA, KS 67206 NATURE: LLC-BANK ACCOUNT POSITION:ADVISOR, OWNER START DATE: 5/15/2021 NO HRS/MO: 160 NO HRS/MO DUR TRADING: 130 NATURE: FINANCIAL ADVISING, CLIENT CARE, OFFICE ADMINSTRATION THROUGH MY REGULAR BUSINESS CREATES INCOME WHICH WILL ONLY FLOW THROUGH THIS LLC BANK ACCOUNT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-19 |
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