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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2017-03-25 |
Branch Locations
2000 S Colorado Blvd, Tower Ii Suite 800, Denver, CO 80222 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc. | Colorado Springs | CO | 01/2015 | 03/2017 |
| Massmutual Life Insurance Co | Denver | CO | 07/2016 | Present |
| Mml Investors Services, Llc | Denver | CO | 03/2017 | Present |
1) Name: Michael Clark Inv rel: Y Add: At Residential Adress Nature: Business Referral Agreement Position: Consultant Start date: 09/13/2017 No. HR/MO: .25 No. HR/MO during sec trading: 0 Describe duties: Business Referral Agreement involving referral between business owner looking to sell business and business broker who will find buyers to obtain business through purchase or succession planning. I have no involvement in the transaction of any facet of the transaction between Business owner, broker or potential buyer.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-21 |
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