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9595 Six Pines Drive Suite 6200, The Woodlands, TX 77380 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2026-07-23 |
| TN | RA | APPROVED | 2026-07-23 |
| TX | RA | APPROVED | 2026-07-23 |
| VA | RA | APPROVED | 2026-07-23 |
Branch Locations
9595 Six Pines Drive Suite 6200, The Woodlands, TX 77380 • United States
Dandridge, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co | Blue Bell | PA | 10/2010 | 08/2018 |
| Massmutual Life Insurance Company | Danridge | TN | 05/2018 | Present |
| Mml Investors Services | Danridge | TN | 10/2018 | 11/2025 |
| Diamond Client Group, Llc | The Woodlands | TX | 07/2025 | Present |
(1) NAME: GOERING REAL ESATE INV REL: Y ADD: 956 Holly Oaks Lane Dandridge TN 37725 NATURE: REAL ESTATE POSITION: OWNERSHIP START DATE: 03/2004 No. HR/MO: 5. No. H DURING SEC TRADING: 1. (2)NAME: GOEPLAN FINANCIAL GROUP INV REL: Y ADD: 956 Holly Oaks Lane Dandridge TN 37725 NATURE: INDIVIDUAL LIFE, HEALTH, GROUP, Property and Casualty POSITION: SALES START DATE: 08/2008 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 1. (3) NAME: ROCKET MORTGAGE INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE (MORTGAGE ORIGINATION POSITION: REMOVE the mortgage origination)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-05 |
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