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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-14 |
| TX | RA | APPROVED_RES | 2020-02-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Co | Amherst | NY | 08/2016 | Present |
| Msi Financial Services | Amherst | NY | 08/2016 | 03/2017 |
| Mml Investors Services, Llc | Amherst | NY | 03/2017 | Present |
Name: Aspire of WNY, Inv Rel: Y Addr: 2356 N Forest Rd, Getzville NY 14068, Nature: Non profit assisting individuals with disabilities, Position: Board Member, Audit Committee, Investment Committee, Start: 1/1/205, No Hr/Mo: 4 No Hr/Mo Dur Trading: 2, Duties: Serve on the Investment Committee which reviews the investments of the non profit (not under our management) Serve on the Audit Committee which reviews the internal procedures on Aspire (audited by a third party).
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-04-14 |
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