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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-08-29 |
| AZ | RA | APPROVED | 2023-08-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Brokerage Services, Inc. | Scottsdale | AZ | 01/1991 | 05/2022 |
| Cuna Mutual Group | Scottsdale | AZ | 01/1997 | 05/2022 |
| Lpl Financial, Llc | Scottsdale | AZ | 05/2022 | 08/2023 |
| Mml Investors Services, Llc | Scottsdale | AZ | 08/2023 | Present |
| Massmutual Life Insurance Co | Scottsdale | AZ | 08/2023 | Present |
(1) Name: BTBauer Farms Inv Rel: Y Addr: 992 E 1000 North Rd, Onarga, IL 60955 Nature: Rental Income Position: Owner of Land Start Date: 01/01/2008 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: Discuss farm crops with family and visit once a year. (2) NAME: Earnest Consulting Group (ECG) INV REL: Y ADD: Residential Address NATURE: Outside insurance POSITION: Partner START DATE: 11/01/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 10 DESCRIBE DUTIES: Presenting Credit Union owned Life insurance (CUOLI) to Credit Unions as an investment option for employee benefits costs. This is permissible with NCUA regulators. through Sammons (North America & Midland) are the leading providers. (3)NAME: OM Financial Group LLC INV REL: Y ADD: 280 Congress St Suite 1300 Boston, MA 02210 NATURE/DUTIES: Advisor of LLC for pass through compensation POSITION: Advisor START DATE: 02/16/2024 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-28 |
| S65 | Uniform Investment Adviser Law Examination | 1999-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-14 |
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