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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2018-09-19 |
Branch Locations
6263 N Scottsdale Rd Suite 140, Scottsdale, AZ 85250 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-06 |
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