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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-03-12 |
| PA | RA | APPROVED | 2017-03-25 |
Branch Locations
16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States
Paoli, PA • 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. | Newtown | PA | 01/2015 | 03/2017 |
| Mml Investors Services, Llc | Newtown Square | PA | 03/2017 | Present |
| Massmutual Life Insurance Co | Newtown Square | PA | 07/2016 | Present |
(1)NAME: STEVEN KAPLAN INV REL: Y ADDR: 16 CAMPUS BLVD STE 200 NEWTOWN SQUARE PA 19073 NATURE: INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH POSITION: AGENT START: 01/01/2017 NO HRS: 5 NO HRS DUR TRADING: 5. (2)NAME: MINDSHIFT CONSULTING LLC INV REL: Y ADDR: 1515 AIDENN LAIR RD MAPLE GLEN PA 19002 NATURE: CONSULTING POSITION: SALES/OWNERSHIP START: 06/2018 NO HRS: 15 NO HRS DUR TRADING: 5.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-10-31 |
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