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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-12 |
| CA | RA | APPROVED | 2011-06-09 |
Branch Locations
777 East Tahquitz Canyon Way Suite 200-16, Palm Springs, CA 92262 • United States
6080 Center Drive Suite 120, Los Angeles, CA 90045 • 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 |
|---|---|---|---|---|
| R.J. Smith Insurance & Financial Services | Palm Desert | CA | 11/2006 | Present |
| Massmutual Financial Group | Rancho Mirage | CA | 05/2011 | Present |
| Mml Investors Services, Llc | Rancho Mirage | CA | 05/2011 | Present |
(1) Name: DOT Insurance & Financial Services Inc DBA RJ Smith Insurance & Financial Services Inv rel: Y Add: 777 E Tahquitz Canyon Dr Ste 200-16. Palm Springs CA 92264 Nature: Outside Insurance Brokerage Position: agent Start date: 1984 No. HR/MO: 10-20 No. HR/MO during sec trading: 40-80 Describe duties: life, health, group life, disability. (2) Name: Main Street Lyndonville LLC Inv Rel: Y Add: 29 Main Street Lyndonville NY 14098 Nature: Purchase, Renovate and lease for long term hold Position: Owner Start Date: 3/1/18 No Hrs/Mo: 10-20 No Hrs/Mo Dur Trading: 5-10.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-25 |
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