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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2014-11-13 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Co | Charlotte | NC | 05/2014 | Present |
| Mml Investors Services, Llc | Charlotte | NC | 05/2014 | Present |
(1) NAME: TOWNEBANK INV REL: Y ADDR: 6005 HARBOUR VIEW BLVD, SUFFOLK, VA 23435 NATURE: COMPENSATED BOARD SERVICES POSITION: BOARD MEMBER START: 2009 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0. (2) NAME: PIERCE C. WARD, III INV REL: Y ADDR: 4350 CONGRESS ST, STE 300, CHARLOTTE, NC 28209 NATURE: INDIVIDUAL LIFE, HEALTH, GROUP LIFE, GROUP HEALTH, DI POSITION: SALES START: 4/1/1978 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 10.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-07-27 |
| S65 | Uniform Investment Adviser Law Examination | 2006-01-20 |
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