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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-09 |
Branch Locations
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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Sarasota | FL | 06/2009 | 08/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2017 |
| Rbc Capital Markets, Llc | Sarasota | FL | 08/2017 | 10/2021 |
| City National Bank | Sarasota | FL | 10/2017 | 10/2021 |
| Mml Investors Services, Llc | Sarasota | FL | 10/2021 | Present |
| Mass Mutual Life Insurance Company | Sarasota | FL | 10/2021 | Present |
(1)Name: Sage Advisors LLC Inv rel: Y Add: At Residential Address Nature: LLC used to offer Investment and Life Insurance products Position: Founder/Advisor Start date: 08/01/2021 No. HR/MO: 200 No. HR/MO during sec trading: 200 Describe duties: Help oversee the day to day business and advise clients through financial situations. (2)Name: Sarasota Library Foundation Inv rel: N Add: 1358 Fruitville Rd., Suite 310, Sarasota, FL 34236 Nature: Board Service Position: General Board Member Start date: 09/09/2026 No. HR/MO: 4-10 No. HR/MO during sec trading: 1 Describe duties: Champion strong public libraries, support innovation and help extend the library system’s reach for everyone in Sarasota.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-02 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-27 |
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