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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-20 |
| AZ | RA | APPROVED | 2022-12-15 |
| TX | RA | APPROVED | 2022-12-13 |
Branch Locations
800 Newport Center Drive Suite 500, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services, Llc | Tempe | AZ | 09/2018 | 01/2019 |
| Mass Mutual | Salt Lake City | UT | 07/2017 | 01/2018 |
| University Of Utah | Salt Lake City | UT | 08/2013 | 12/2017 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2019 | 10/2022 |
| Gtif Capital | Phoenix | AZ | 12/2018 | 08/2019 |
| Battock Wealth Management | Scottsdale | AZ | 02/2018 | 12/2018 |
| Morgan Stanley Smith Barney Llc | Newport Beach | CA | 10/2022 | Present |
*533160- Mass Mutual Life Insurance; Investment related-No; Murray, Utah; Insurance; Contractor (proprietor, partner, officer, director, employee, trustee, agent); 07/2017; During business hours: 0; After business hours: 0; Referrals
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-21 |
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