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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2018-09-19
  • AZ RA
    APPROVED
    Since 2018-09-19

Branch Locations

6263 N Scottsdale Rd Suite 140, Scottsdale, AZ 85250 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Scottsdale AZ 04/2015 Present
Mml Investors Services Scottsdale AZ 11/2017 Present
Premier Sales, Inc Scottsdale AZ 09/2002 Present
  • 04/2015 → Present
    Massmutual Life Insurance Company
    Scottsdale, AZ
  • 11/2017 → Present
    Mml Investors Services
    Scottsdale, AZ
  • 09/2002 → Present
    Premier Sales, Inc
    Scottsdale, AZ
Other Businesses

(1) NAME: DIANE THOMAS INV REL: Y ADD: 6263 NORTH SCOTTSDALE ROAD, SUITE #140 SCOTTSDALE ARIZONA 85250 NATURE: INDIVIDUAL LIFE/HEALTH, GROUP LIFE/HEALTH, P&C POSITION: SALES/OWNER/AGENT START DATE: 2015 NO HRS/MO:1 NO HRS/MO DUR TRADING: 1 (2) NAME: PREMIER SALES, INC INV REL: Y ADD: 8767 E VIA DE VENTURA STE 100 SCOTTSDALE AZ 85258 NATURE: RENTAL PROPERTY POSITION: AGENT START DATE: 2002 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 2 (3) NAME: LEGACY ADVISORS ARIZONA INV REL: Y ADD: 3643 WEST DEL RIO ST CHANDLER AZ 85226 NATURE: BUSINESS COACHING AND GOAL SETTING POSITION: OWNER START DATE: 11/2017 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 5 (4) 20th STREET TRUST DATED DECEMBER 13, 2019 INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: RENTAL PROPERTY POSITION: OWNER START DATE: 2002 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 (5) NAME: PACIFIC FINANCIAL ADVISORY SERVICES LLC INV REL: Y ADD: 2133 WOODLAND HEIGHTS GLEN ESCONDIDO CA 92026 NATURE: BANK CONSULTING FOR REGULATORY COMPLIANCE, LOAN PORTFOLIO REVIEWS PRIOR TO FDIC AUDIT POSITION: SALES, OWNER/AGENT START DATE: 1996 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 (6) NAME: PREMIER SALES INV REL: Y ADD: 8767 E VILA DE VENTURA STE 100 SCOTTSDALE AZ 85258 NATURE: BUSINESS SALES TRANSACTIONS, BUSINESS CONSULTING POSITION: OWNER START DATE: 2002 NO HRS/MO: 20 NO HRS/MO DUR TRADING: 20 (7) NAME: HARPENAU-THOMAS FAMILY LIMITED PARTNERSHIP INV REL: Y ADD: RESIDENTIAL NATURE: MANAGEMENT SERVICES POSITION: GENERAL PARTNERSHIP START DATE: 12/20/2021 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DUTIES: OVERSIGHT OF MANAGEMENT SERVICES & LP'S ACCOUNTING & DISTRIBUTIONS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-06
  • S66 Uniform Combined State Law Examination
    2018-08-06
Other Names
  • Diane Thomas

View on SEC IAPD

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